âž Included: Control ac.1 Parameter ac-1_a: organization-defined personnel or roles Parameter ac-1_b: organization-defined frequency Parameter ac-1_c: organization-defined frequency Control ac.2 Parameter ac-2_a: organization-defined information system account types Parameter ac-2_b: organization-defined personnel or roles Parameter ac-2_c: organization-defined procedures or conditions Parameter ac-2_d: organization-defined frequency Subcontrol ac.2.1. Subcontrol ac.2.2. Parameter ac-2_e: organization-defined time period for each type of account Subcontrol ac.2.3. Parameter ac-2_f: organization-defined time period Subcontrol ac.2.4. Parameter ac-2_g: organization-defined personnel or roles Subcontrol ac.2.5. Parameter ac-2_h: organization-defined time-period of expected inactivity or description of when to log out Subcontrol ac.2.7. Parameter ac-2_j: organization-defined actions Subcontrol ac.2.9. Parameter ac-2_l: organization-defined conditions for establishing shared/group accounts Subcontrol ac.2.10. Subcontrol ac.2.12. Parameter ac-2_o: organization-defined atypical usage Parameter ac-2_p: organization-defined personnel or roles Control ac.3 Control ac.4 Parameter ac-4_a: organization-defined information flow control policies Subcontrol ac.4.21. Parameter ac-4_z: organization-defined mechanisms and/or techniques Parameter ac-4_aa: organization-defined required separations by types of information Control ac.5 Parameter ac-5_a: organization-defined duties of individuals Control ac.6 Subcontrol ac.6.1. Parameter ac-6_a: organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information Subcontrol ac.6.2. Parameter ac-6_b: organization-defined security functions or security-relevant information Subcontrol ac.6.5. Parameter ac-6_e: organization-defined personnel or roles Subcontrol ac.6.9. Subcontrol ac.6.10. Control ac.7 Parameter ac-7_a: organization-defined number Parameter ac-7_b: organization-defined time period Parameter ac-7_c: organization-defined time period Parameter ac-7_d: organization-defined delay algorithm Control ac.8 Parameter ac-8_a: organization-defined system use notification message or banner Parameter ac-8_b: organization-defined conditions Control ac.10 Parameter ac-10_a: organization-defined account and/or account type Parameter ac-10_b: organization-defined number Control ac.11 Parameter ac-11_a: organization-defined time period Subcontrol ac.11.1. Control ac.12 Parameter ac-12_a: organization-defined conditions or trigger events requiring session disconnect Control ac.14 Parameter ac-14_a: organization-defined user actions Control ac.17 Subcontrol ac.17.1. Subcontrol ac.17.2. Subcontrol ac.17.3. Parameter ac-17_a: organization-defined number Subcontrol ac.17.4. Parameter ac-17_b: organization-defined needs Subcontrol ac.17.9. Parameter ac-17_c: organization-defined time period Control ac.18 Subcontrol ac.18.1. Control ac.19 Subcontrol ac.19.5. Parameter ac-19_c: organization-defined mobile devices Control ac.20 Subcontrol ac.20.1. Subcontrol ac.20.2. Control ac.21 Parameter ac-21_a: organization-defined information sharing circumstances where user discretion is required Parameter ac-21_b: organization-defined automated mechanisms or manual processes Control ac.22 Parameter ac-22_a: organization-defined frequency Control at.1 Parameter at-1_a: organization-defined personnel or roles Parameter at-1_b: organization-defined frequency Parameter at-1_c: organization-defined frequency Control at.2 Parameter at-2_a: organization-defined frequency Subcontrol at.2.2. Control at.3 Parameter at-3_a: organization-defined frequency Control at.4 Parameter at-4_a: organization-defined time period Control au.1 Parameter au-1_a: organization-defined personnel or roles Parameter au-1_b: organization-defined frequency Parameter au-1_c: organization-defined frequency Control au.2 Parameter au-2_a: organization-defined auditable events Parameter au-2_b: organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event Subcontrol au.2.3. Parameter au-2_c: organization-defined frequency Control au.3 Subcontrol au.3.1. Parameter au-3_a: organization-defined additional, more detailed information Control au.4 Parameter au-4_a: organization-defined audit record storage requirements Control au.5 Parameter au-5_a: organization-defined personnel or roles Parameter au-5_b: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records) Control au.6 Parameter au-6_a: organization-defined frequency Parameter au-6_b: organization-defined inappropriate or unusual activity Parameter au-6_c: organization-defined personnel or roles Subcontrol au.6.1. Subcontrol au.6.3. Control au.7 Subcontrol au.7.1. Parameter au-7_a: organization-defined audit fields within audit records Control au.8 Parameter au-8_a: organization-defined granularity of time measurement Subcontrol au.8.1. Parameter au-8_b: organization-defined frequency Parameter au-8_c: organization-defined authoritative time source Parameter au-8_d: organization-defined time period Control au.9 Subcontrol au.9.2. Parameter au-9_a: organization-defined frequency Subcontrol au.9.4. Parameter au-9_b: organization-defined subset of privileged users Control au.11 Parameter au-11_a: organization-defined time period consistent with records retention policy Control au.12 Parameter au-12_a: organization-defined information system components Parameter au-12_b: organization-defined personnel or roles Control ca.1 Parameter ca-1_a: organization-defined personnel or roles Parameter ca-1_b: organization-defined frequency Parameter ca-1_c: organization-defined frequency Control ca.2 Parameter ca-2_a: organization-defined frequency Parameter ca-2_b: organization-defined individuals or roles Subcontrol ca.2.1. Parameter ca-2_c: organization-defined level of independence Subcontrol ca.2.2. Parameter ca-2_d: organization-defined frequency Parameter ca-2_e: organization-defined other forms of security assessment Subcontrol ca.2.3. Parameter ca-2_f: organization-defined information system Parameter ca-2_g: organization-defined external organization Parameter ca-2_h: organization-defined requirements Control ca.3 Parameter ca-3_a: organization-defined frequency Subcontrol ca.3.3. Parameter ca-3_e: organization-defined unclassified, non-national security system Parameter ca-3_f: Assignment; organization-defined boundary protection device Subcontrol ca.3.5. Parameter ca-3_h: organization-defined information systems Control ca.5 Parameter ca-5_a: organization-defined frequency Control ca.6 Parameter ca-6_a: organization-defined frequency Control ca.7 Parameter ca-7_a: organization-defined metrics Parameter ca-7_b: organization-defined frequencies Parameter ca-7_c: organization-defined frequencies Parameter ca-7_d: organization-defined personnel or roles Parameter ca-7_e: organization-defined frequency Subcontrol ca.7.1. Parameter ca-7_f: organization-defined level of independence Control ca.8 Parameter ca-8_a: organization-defined frequency Parameter ca-8_b: organization-defined information systems or system components Subcontrol ca.8.1. Control ca.9 Parameter ca-9_a: organization-defined information system components or classes of components Control cm.1 Parameter cm-1_a: organization-defined personnel or roles Parameter cm-1_b: organization-defined frequency Parameter cm-1_c: organization-defined frequency Control cm.2 Subcontrol cm.2.1. Parameter cm-2_a: organization-defined frequency Parameter cm-2_b: Assignment organization-defined circumstances Subcontrol cm.2.2. Subcontrol cm.2.3. Parameter cm-2_c: organization-defined previous versions of baseline configurations of the information system Subcontrol cm.2.7. Parameter cm-2_d: organization-defined information systems, system components, or devices Parameter cm-2_e: organization-defined configurations Parameter cm-2_f: organization-defined security safeguards Control cm.3 Parameter cm-3_a: organization-defined time period Parameter cm-3_b: organization-defined configuration change control element (e.g., committee, board) Parameter cm-3_c: organization-defined frequency Parameter cm-3_d: organization-defined configuration change conditions Control cm.4 Control cm.5 Subcontrol cm.5.1. Subcontrol cm.5.3. Parameter cm-5_c: organization-defined software and firmware components Subcontrol cm.5.5. Parameter cm-5_e: organization-defined frequency Control cm.6 Parameter cm-6_a: organization-defined security configuration checklists Parameter cm-6_b: organization-defined information system components Parameter cm-6_c: organization-defined operational requirements Subcontrol cm.6.1. Parameter cm-6_d: organization-defined information system components Control cm.7 Parameter cm-7_a: organization-defined prohibited or restricted functions, ports, protocols, and/or services Subcontrol cm.7.1. Parameter cm-7_b: organization-defined frequency Parameter cm-7_c: organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure Subcontrol cm.7.2. Parameter cm-7_d: organization-defined policies regarding software program usage and restrictions Subcontrol cm.7.5. Parameter cm-7_h: organization-defined software programs authorized to execute on the information system Parameter cm-7_i: organization-defined frequency Control cm.8 Parameter cm-8_a: organization-defined information deemed necessary to achieve effective information system component accountability Parameter cm-8_b: organization-defined frequency Subcontrol cm.8.1. Subcontrol cm.8.3. Parameter cm-8_c: organization-defined frequency Parameter cm-8_d: organization-defined personnel or roles Subcontrol cm.8.5. Control cm.9 Control cm.10 Subcontrol cm.10.1. Parameter cm-10_a: organization-defined restrictions Control cm.11 Parameter cm-11_a: organization-defined policies Parameter cm-11_b: organization-defined methods Parameter cm-11_c: organization-defined frequency Control cp.1 Parameter cp-1_a: organization-defined personnel or roles Parameter cp-1_b: organization-defined frequency Parameter cp-1_c: organization-defined frequency Control cp.2 Parameter cp-2_a: organization-defined personnel or roles Parameter cp-2_b: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements Parameter cp-2_c: organization-defined frequency Parameter cp-2_d: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements Subcontrol cp.2.1. Subcontrol cp.2.2. Subcontrol cp.2.3. Parameter cp-2_e: organization-defined time period Subcontrol cp.2.8. Control cp.3 Parameter cp-3_a: organization-defined time period Parameter cp-3_b: organization-defined frequency Control cp.4 Parameter cp-4_a: organization-defined frequency Parameter cp-4_b: organization-defined tests Subcontrol cp.4.1. Control cp.6 Subcontrol cp.6.1. Subcontrol cp.6.3. Control cp.7 Parameter cp-7_a: organization-defined information system operations Parameter cp-7_b: organization-defined time period consistent with recovery time and recovery point objectives Subcontrol cp.7.1. Subcontrol cp.7.2. Subcontrol cp.7.3. Control cp.8 Parameter cp-8_a: organization-defined information system operations Parameter cp-8_b: organization-defined time period Subcontrol cp.8.1. Subcontrol cp.8.2. Control cp.9 Parameter cp-9_a: organization-defined frequency consistent with recovery time and recovery point objectives Parameter cp-9_b: organization-defined frequency consistent with recovery time and recovery point objectives Parameter cp-9_c: organization-defined frequency consistent with recovery time and recovery point objectives Subcontrol cp.9.1. Parameter cp-9_d: organization-defined frequency Subcontrol cp.9.3. Parameter cp-9_e: organization-defined critical information system software and other security-related information Control cp.10 Subcontrol cp.10.2. Control ia.1 Parameter ia-1_a: organization-defined personnel or roles Parameter ia-1_b: organization-defined frequency Parameter ia-1_c: organization-defined frequency Control ia.2 Subcontrol ia.2.1. Subcontrol ia.2.2. Subcontrol ia.2.3. Subcontrol ia.2.5. Subcontrol ia.2.8. Subcontrol ia.2.11. Parameter ia-2_d: organization-defined strength of mechanism requirements Subcontrol ia.2.12. Control ia.3 Parameter ia-3_a: organization-defined specific and/or types of devices Control ia.4 Parameter ia-4_a: organization-defined personnel or roles Parameter ia-4_b: organization-defined time period Parameter ia-4_c: organization-defined time period of inactivity Subcontrol ia.4.4. Parameter ia-4_d: organization-defined characteristic identifying individual status Control ia.5 Parameter ia-5_a: organization-defined time period by authenticator type Subcontrol ia.5.1. Parameter ia-5_b: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type Parameter ia-5_c: organization-defined number Parameter ia-5_d: organization-defined numbers for lifetime minimum, lifetime maximum Parameter ia-5_e: organization-defined number Subcontrol ia.5.2. Subcontrol ia.5.3. Parameter ia-5_f: organization-defined types of and/or specific authenticators Parameter ia-5_g: organization-defined registration authority Parameter ia-5_h: organization-defined personnel or roles Subcontrol ia.5.4. Parameter ia-5_i: organization-defined requirements Subcontrol ia.5.6. Subcontrol ia.5.7. Subcontrol ia.5.11. Parameter ia-5_l: organization-defined token quality requirements Control ia.6 Control ia.7 Control ia.8 Subcontrol ia.8.1. Subcontrol ia.8.2. Subcontrol ia.8.3. Parameter ia-8_a: organization-defined information systems Subcontrol ia.8.4. Control ir.1 Parameter ir-1_a: organization-defined personnel or roles Parameter ir-1_b: organization-defined frequency Parameter ir-1_c: organization-defined frequency Control ir.2 Parameter ir-2_a: organization-defined time period Parameter ir-2_b: organization-defined frequency Control ir.3 Parameter ir-3_a: organization-defined frequency Parameter ir-3_b: organization-defined tests Subcontrol ir.3.2. Control ir.4 Subcontrol ir.4.1. Control ir.5 Control ir.6 Parameter ir-6_a: organization-defined time period Parameter ir-6_b: organization-defined authorities Subcontrol ir.6.1. Control ir.7 Subcontrol ir.7.1. Subcontrol ir.7.2. Control ir.8 Parameter ir-8_a: organization-defined personnel or roles Parameter ir-8_b: organization-defined incident response personnel (identified by name and/or by role) and organizational elements Parameter ir-8_c: organization-defined frequency Parameter ir-8_d: organization-defined incident response personnel (identified by name and/or by role) and organizational elements Control ir.9 Parameter ir-9_a: organization-defined personnel or roles Parameter ir-9_b: organization-defined actions Subcontrol ir.9.1. Parameter ir-9_c: organization-defined personnel or roles Subcontrol ir.9.2. Parameter ir-9_d: organization-defined frequency Subcontrol ir.9.3. Parameter ir-9_e: organization-defined procedures Subcontrol ir.9.4. Parameter ir-9_f: organization-defined security safeguards Control ma.1 Parameter ma-1_a: organization-defined personnel or roles Parameter ma-1_b: organization-defined frequency Parameter ma-1_c: organization-defined frequency Control ma.2 Parameter ma-2_a: organization-defined personnel or roles Parameter ma-2_b: organization-defined maintenance-related information Control ma.3 Subcontrol ma.3.1. Subcontrol ma.3.2. Subcontrol ma.3.3. Parameter ma-3_a: organization-defined personnel or roles Control ma.4 Subcontrol ma.4.2. Control ma.5 Subcontrol ma.5.1. Control ma.6 Parameter ma-6_a: organization-defined information system components Parameter ma-6_b: organization-defined time period Control mp.1 Parameter mp-1_a: organization-defined personnel or roles Parameter mp-1_b: organization-defined frequency Parameter mp-1_c: organization-defined frequency Control mp.2 Parameter mp-2_a: organization-defined types of digital and/or non-digital media Parameter mp-2_b: organization-defined personnel or roles Control mp.3 Parameter mp-3_a: organization-defined types of information system media Parameter mp-3_b: organization-defined controlled areas Control mp.4 Parameter mp-4_a: organization-defined types of digital and/or non-digital media Parameter mp-4_b: organization-defined controlled areas Control mp.5 Parameter mp-5_a: organization-defined types of information system media Parameter mp-5_b: organization-defined security safeguards Subcontrol mp.5.4. Control mp.6 Parameter mp-6_a: organization-defined information system media Parameter mp-6_b: organization-defined sanitization techniques and procedures Subcontrol mp.6.2. Parameter mp-6_c: organization-defined frequency Control mp.7 Parameter mp-7_a: organization-defined types of information system media Parameter mp-7_b: organization-defined information systems or system components Parameter mp-7_c: organization-defined security safeguards Subcontrol mp.7.1. Control pe.1 Parameter pe-1_a: organization-defined personnel or roles Parameter pe-1_b: organization-defined frequency Parameter pe-1_c: organization-defined frequency Control pe.2 Parameter pe-2_a: organization-defined frequency Control pe.3 Parameter pe-3_a: organization-defined entry/exit points to the facility where the information system resides Parameter pe-3_b: organization-defined physical access control systems/devices Parameter pe-3_c: organization-defined entry/exit points Parameter pe-3_d: organization-defined security safeguards Parameter pe-3_e: organization-defined circumstances requiring visitor escorts and monitoring Parameter pe-3_f: organization-defined physical access devices Parameter pe-3_g: organization-defined frequency Parameter pe-3_h: organization-defined frequency Control pe.4 Parameter pe-4_a: organization-defined information system distribution and transmission lines Parameter pe-4_b: organization-defined security safeguards Control pe.5 Control pe.6 Parameter pe-6_a: organization-defined frequency Parameter pe-6_b: organization-defined events or potential indications of events Subcontrol pe.6.1. Control pe.8 Parameter pe-8_a: organization-defined time period Parameter pe-8_b: organization-defined frequency Control pe.9 Control pe.10 Parameter pe-10_a: organization-defined location by information system or system component Control pe.11 Control pe.12 Control pe.13 Subcontrol pe.13.2. Parameter pe-13_c: organization-defined emergency responders Subcontrol pe.13.3. Control pe.14 Parameter pe-14_a: organization-defined acceptable levels Parameter pe-14_b: organization-defined frequency Subcontrol pe.14.2. Control pe.15 Control pe.16 Parameter pe-16_a: organization-defined types of information system components Control pe.17 Parameter pe-17_a: organization-defined security controls Control pl.1 Parameter pl-1_a: organization-defined personnel or roles Parameter pl-1_b: organization-defined frequency Parameter pl-1_c: organization-defined frequency Control pl.2 Parameter pl-2_a: organization-defined personnel or roles Parameter pl-2_b: organization-defined frequency Subcontrol pl.2.3. Parameter pl-2_c: organization-defined individuals or groups Control pl.4 Parameter pl-4_a: organization-defined frequency Subcontrol pl.4.1. Control pl.8 Parameter pl-8_a: organization-defined frequency Control ps.1 Parameter ps-1_a: organization-defined personnel or roles Parameter ps-1_b: organization-defined frequency Parameter ps-1_c: organization-defined frequency Control ps.2 Parameter ps-2_a: organization-defined frequency Control ps.3 Parameter ps-3_a: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening Subcontrol ps.3.3. Parameter ps-3_b: organization-defined additional personnel screening criteria Control ps.4 Parameter ps-4_a: organization-defined time period Parameter ps-4_b: organization-defined information security topics Parameter ps-4_c: organization-defined personnel or roles Parameter ps-4_d: organization-defined time period Control ps.5 Parameter ps-5_a: organization-defined transfer or reassignment actions Parameter ps-5_b: organization-defined time period following the formal transfer action Parameter ps-5_c: organization-defined personnel or roles Parameter ps-5_d: organization-defined time period Control ps.6 Parameter ps-6_a: organization-defined frequency Parameter ps-6_b: organization-defined frequency Control ps.7 Parameter ps-7_a: organization-defined personnel or roles Parameter ps-7_b: organization-defined time period Control ps.8 Parameter ps-8_a: organization-defined personnel or roles Parameter ps-8_b: organization-defined time period Control ra.1 Parameter ra-1_a: organization-defined personnel or roles Parameter ra-1_b: organization-defined frequency Parameter ra-1_c: organization-defined frequency Control ra.2 Control ra.3 Parameter ra-3_a: organization-defined document Parameter ra-3_b: organization-defined frequency Parameter ra-3_c: organization-defined personnel or roles Parameter ra-3_d: organization-defined frequency Control ra.5 Parameter ra-5_a: organization-defined frequency and/or randomly in accordance with organization-defined process Parameter ra-5_b: organization-defined response times Parameter ra-5_c: organization-defined personnel or roles Subcontrol ra.5.1. Subcontrol ra.5.2. Parameter ra-5_d: organization-defined frequency Subcontrol ra.5.3. Subcontrol ra.5.5. Parameter ra-5_f: organization-identified information system components Parameter ra-5_g: organization-defined vulnerability scanning activities Subcontrol ra.5.6. Subcontrol ra.5.8. Control sa.1 Parameter sa-1_a: organization-defined personnel or roles Parameter sa-1_b: organization-defined frequency Parameter sa-1_c: organization-defined frequency Control sa.2 Control sa.3 Parameter sa-3_a: organization-defined system development life cycle Control sa.4 Subcontrol sa.4.1. Subcontrol sa.4.2. Parameter sa-4_a: organization-defined design/implementation information Parameter sa-4_b: organization-defined level of detail Subcontrol sa.4.8. Parameter sa-4_e: organization-defined level of detail Subcontrol sa.4.9. Subcontrol sa.4.10. Control sa.5 Parameter sa-5_a: organization-defined actions Parameter sa-5_b: organization-defined personnel or roles Control sa.8 Control sa.9 Parameter sa-9_a: organization-defined security controls Parameter sa-9_b: organization-defined processes, methods, and techniques Subcontrol sa.9.1. Parameter sa-9_c: organization-defined personnel or roles Subcontrol sa.9.2. Parameter sa-9_d: organization-defined external information system services Subcontrol sa.9.4. Parameter sa-9_f: organization-defined security safeguards Parameter sa-9_g: organization-defined external service providers Subcontrol sa.9.5. Parameter sa-9_h: organization-defined locations Parameter sa-9_i: organization-defined requirements or conditions Control sa.10 Parameter sa-10_a: organization-defined configuration items under configuration management Parameter sa-10_b: organization-defined personnel Subcontrol sa.10.1. Control sa.11 Parameter sa-11_a: organization-defined depth and coverage Subcontrol sa.11.1. Subcontrol sa.11.2. Subcontrol sa.11.8. Control sc.1 Parameter sc-1_a: organization-defined personnel or roles Parameter sc-1_b: organization-defined frequency Parameter sc-1_c: organization-defined frequency Control sc.2 Control sc.4 Control sc.5 Parameter sc-5_a: organization-defined types of denial of service attacks or references to sources for such information Parameter sc-5_b: organization-defined security safeguards Control sc.6 Parameter sc-6_a: organization-defined resources Parameter sc-6_b: organization-defined security safeguards Control sc.7 Subcontrol sc.7.3. Subcontrol sc.7.4. Parameter sc-7_a: organization-defined frequency Subcontrol sc.7.5. Subcontrol sc.7.7. Subcontrol sc.7.8. Parameter sc-7_b: organization-defined internal communications traffic Parameter sc-7_c: organization-defined external networks Subcontrol sc.7.12. Parameter sc-7_f: organization-defined host-based boundary protection mechanisms Parameter sc-7_g: organization-defined information system components Subcontrol sc.7.13. Parameter sc-7_h: organization-defined information security tools, mechanisms, and support components Subcontrol sc.7.18. Control sc.8 Subcontrol sc.8.1. Parameter sc-8_a: organization-defined alternative physical safeguards Control sc.10 Parameter sc-10_a: organization-defined time period Control sc.12 Parameter sc-12_a: organization-defined requirements for key generation, distribution, storage, access, and destruction Subcontrol sc.12.2. Subcontrol sc.12.3. Control sc.13 Parameter sc-13_a: organization-defined cryptographic uses and type of cryptography required for each use Control sc.15 Parameter sc-15_a: organization-defined exceptions where remote activation is to be allowed Control sc.17 Parameter sc-17_a: organization-defined certificate policy Control sc.18 Control sc.19 Control sc.20 Control sc.21 Control sc.22 Control sc.23 Control sc.28 Parameter sc-28_a: organization-defined information at rest Subcontrol sc.28.1. Parameter sc-28_b: organization-defined information Parameter sc-28_c: organization-defined information system components Control sc.39 Control si.1 Parameter si-1_a: organization-defined personnel or roles Parameter si-1_b: organization-defined frequency Parameter si-1_c: organization-defined frequency Control si.2 Parameter si-2_a: organization-defined time period Subcontrol si.2.2. Parameter si-2_b: organization-defined frequency Subcontrol si.2.3. Parameter si-2_c: organization-defined benchmarks Control si.3 Parameter si-3_a: organization-defined frequency Parameter si-3_b: organization-defined action Subcontrol si.3.1. Subcontrol si.3.2. Subcontrol si.3.7. Control si.4 Parameter si-4_a: organization-defined monitoring objectives Parameter si-4_b: organization-defined techniques and methods Parameter si-4_c: organization-defined information system monitoring information Parameter si-4_d: organization-defined personnel or roles Parameter si-4_e: organization-defined frequency Subcontrol si.4.1. Subcontrol si.4.2. Subcontrol si.4.4. Parameter si-4_f: organization-defined frequency Subcontrol si.4.5. Parameter si-4_g: organization-defined personnel or roles Parameter si-4_h: organization-defined compromise indicators Subcontrol si.4.14. Subcontrol si.4.16. Subcontrol si.4.23. Parameter si-4_x: organization-defined host-based monitoring mechanisms Parameter si-4_y: organization-defined information system components Control si.5 Parameter si-5_a: organization-defined external organizations Parameter si-5_b: organization-defined personnel or roles Parameter si-5_c: organization-defined elements within the organization Parameter si-5_d: organization-defined external organizations Control si.6 Parameter si-6_a: organization-defined security functions Parameter si-6_b: organization-defined system transitional states Parameter si-6_c: organization-defined frequency Parameter si-6_d: organization-defined personnel or roles Parameter si-6_e: organization-defined alternative action(s) Control si.7 Parameter si-7_a: organization-defined software, firmware, and information Subcontrol si.7.1. Parameter si-7_b: organization-defined software, firmware, and information Parameter si-7_c: organization-defined transitional states or security-relevant events Parameter si-7_d: organization-defined frequency Subcontrol si.7.7. Parameter si-7_g: organization-defined security-relevant changes to the information system Control si.8 Subcontrol si.8.1. Subcontrol si.8.2. Control si.10 Parameter si-10_a: organization-defined information inputs Control si.11 Parameter si-11_a: organization-defined personnel or roles Control si.12 Control si.16 Parameter si-16_a: organization-defined security safeguards
NIST SP800-53
ACCESS CONTROL
AC-1 ACCESS CONTROL POLICY AND PROCEDURES
Parameter: ac-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ac-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: ac-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access control responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
AC-2 ACCOUNT MANAGEMENT
Parameter: ac-2_a organization-defined information system account types
Value: organization-defined information system account types
Parameter: ac-2_b organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ac-2_c organization-defined procedures or conditions
Value: organization-defined procedures or conditions
Parameter: ac-2_d organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Information system account types include, for example, individual, shared, group, system, guest/anonymous, emergency, developer/manufacturer/vendor, temporary, and service. Some of the account management requirements listed above can be implemented by organizational information systems. The identification of authorized users of the information system and the specification of access privileges reflects the requirements in other security controls in the security plan. Users requiring administrative privileges on information system accounts receive additional scrutiny by appropriate organizational personnel (e.g., system owner, mission/business owner, or chief information security officer) responsible for approving such accounts and privileged access. Organizations may choose to define access privileges or other attributes by account, by type of account, or a combination of both. Other attributes required for authorizing access include, for example, restrictions on time-of-day, day-of-week, and point-of-origin. In defining other account attributes, organizations consider system-related requirements (e.g., scheduled maintenance, system upgrades) and mission/business requirements, (e.g., time zone differences, customer requirements, remote access to support travel requirements). Failure to consider these factors could affect information system availability. Temporary and emergency accounts are accounts intended for short-term use. Organizations establish temporary accounts as a part of normal account activation procedures when there is a need for short-term accounts without the demand for immediacy in account activation. Organizations establish emergency accounts in response to crisis situations and with the need for rapid account activation. Therefore, emergency account activation may bypass normal account authorization processes. Emergency and temporary accounts are not to be confused with infrequently used accounts (e.g., local logon accounts used for special tasks defined by organizations or when network resources are unavailable). Such accounts remain available and are not subject to automatic disabling or removal dates. Conditions for disabling or deactivating accounts include, for example: (i) when shared/group, emergency, or temporary accounts are no longer required; or (ii) when individuals are transferred or terminated. Some types of information system accounts may require specialized training.
cf AC-3
cf AC-4
cf AC-5
cf AC-6
cf AC-10
cf AC-17
cf AC-19
cf AC-20
cf AU-9
cf IA-2
cf IA-4
cf IA-5
cf IA-8
cf CM-5
cf CM-6
cf CM-11
cf MA-3
cf MA-4
cf MA-5
cf PL-4
cf SC-13
AC-2 (1) AUTOMATED SYSTEM ACCOUNT MANAGEMENT
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms to support the management of information system accounts. |
Supplemental guidance
The use of automated mechanisms can include, for example: using email or text messaging to automatically notify account managers when users are terminated or transferred; using the information system to monitor account usage; and using telephonic notification to report atypical system account usage.
Objective
|
Determine if the organization employs automated mechanisms to support the management of information system accounts. |
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
References: None
AC-2 (2) REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS
Parameter: ac-2_e organization-defined time period for each type of account
Value: organization-defined time period for each type of account
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system automatically [Selection: removes; disables] temporary and emergency accounts after ac-2_e organization-defined time period for each type of account organization-defined time period for each type of account . |
Supplemental guidance
This control enhancement requires the removal of both temporary and emergency accounts automatically after a predefined period of time has elapsed, rather than at the convenience of the systems administrator.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
information system-generated list of temporary accounts removed and/or disabled
information system-generated list of emergency accounts removed and/or disabled
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
References: None
AC-2 (3) DISABLE INACTIVE ACCOUNTS
Parameter: ac-2_f organization-defined time period
Value: organization-defined time period
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system automatically disables inactive accounts after ac-2_f organization-defined time period organization-defined time period . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
information system-generated list of temporary accounts removed and/or disabled
information system-generated list of emergency accounts removed and/or disabled
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
References: None
AC-2 (4) AUTOMATED AUDIT ACTIONS
Parameter: ac-2_g organization-defined personnel or roles
Value: organization-defined personnel or roles
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system automatically audits account creation, modification, enabling, disabling, and removal actions, and notifies ac-2_g organization-defined personnel or roles organization-defined personnel or roles . |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
notifications/alerts of account creation, modification, enabling, disabling, and removal actions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing account management functions
References: None
AC-2 (5) INACTIVITY LOGOUT
Parameter: ac-2_h organization-defined time-period of expected inactivity or description of when to log out
Value: organization-defined time-period of expected inactivity or description of when to log out
baseline-impact: HIGH
Control
|
The organization requires that users log out when ac-2_h organization-defined time-period of expected inactivity or description of when to log out organization-defined time-period of expected inactivity or description of when to log out . |
Supplemental guidance
cf SC-23
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
security violation reports
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
users that must comply with inactivity logout policy
References: None
AC-2 (7) ROLE-BASED SCHEMES
Parameter: ac-2_j organization-defined actions
Value: organization-defined actions
Control
|
The organization:
|
Supplemental guidance
Privileged roles are organization-defined roles assigned to individuals that allow those individuals to perform certain security-relevant functions that ordinary users are not authorized to perform. These privileged roles include, for example, key management, account management, network and system administration, database administration, and web administration.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system-generated list of privileged user accounts and associated role
records of actions taken when privileged role assignments are no longer appropriate
information system audit records
audit tracking and monitoring reports
information system monitoring records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing account management functions
automated mechanisms monitoring privileged role assignments
References: None
AC-2 (9) RESTRICTIONS ON USE OF SHARED / GROUP ACCOUNTS
Parameter: ac-2_l organization-defined conditions for establishing shared/group accounts
Value: organization-defined conditions for establishing shared/group accounts
Control
|
The organization only permits the use of shared/group accounts that meet ac-2_l organization-defined conditions for establishing shared/group accounts organization-defined conditions for establishing shared/group accounts . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
system-generated list of shared/group accounts and associated role
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing management of shared/group accounts
References: None
AC-2 (10) SHARED / GROUP ACCOUNT CREDENTIAL TERMINATION
Control
|
The information system terminates shared/group account credentials when members leave the group. |
Objective
|
Determine if the information system terminates shared/group account credentials when members leave the group. |
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
account access termination records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing account management functions
References: None
AC-2 (12) ACCOUNT MONITORING / ATYPICAL USAGE
Parameter: ac-2_o organization-defined atypical usage
Value: organization-defined atypical usage
Parameter: ac-2_p organization-defined personnel or roles
Value: organization-defined personnel or roles
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Atypical usage includes, for example, accessing information systems at certain times of the day and from locations that are not consistent with the normal usage patterns of individuals working in organizations.
cf CA-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
information system design documentation
information system configuration settings and associated documentation
information system monitoring records
information system audit records
audit tracking and monitoring reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing account management functions
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
list of active system accounts along with the name of the individual associated with each account
list of conditions for group and role membership
notifications or records of recently transferred, separated, or terminated employees
list of recently disabled information system accounts along with the name of the individual associated with each account
access authorization records
account management compliance reviews
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes account management on the information system
automated mechanisms for implementing account management
References: None
AC-3 ACCESS ENFORCEMENT
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies. |
Supplemental guidance
Access control policies (e.g., identity-based policies, role-based policies, control matrices, cryptography) control access between active entities or subjects (i.e., users or processes acting on behalf of users) and passive entities or objects (e.g., devices, files, records, domains) in information systems. In addition to enforcing authorized access at the information system level and recognizing that information systems can host many applications and services in support of organizational missions and business operations, access enforcement mechanisms can also be employed at the application and service level to provide increased information security.
cf AC-2
cf AC-4
cf AC-5
cf AC-6
cf #ac.16
cf AC-17
cf AC-18
cf AC-19
cf AC-20
cf AC-21
cf AC-22
cf AU-9
cf CM-5
cf CM-6
cf CM-11
cf MA-3
cf MA-4
cf MA-5
cf PE-3
Objective
|
Determine if the information system enforces approved authorizations for logical access to information and system resources in accordance with applicable access control policies. |
Assessment: EXAMINE
Access control policy
procedures addressing access enforcement
information system design documentation
information system configuration settings and associated documentation
list of approved authorizations (user privileges)
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy
References: None
AC-4 INFORMATION FLOW ENFORCEMENT
Parameter: ac-4_a organization-defined information flow control policies
Value: organization-defined information flow control policies
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system enforces approved authorizations for controlling the flow of information within the system and between interconnected systems based on ac-4_a organization-defined information flow control policies organization-defined information flow control policies . |
Supplemental guidance
Information flow control regulates where information is allowed to travel within an information system and between information systems (as opposed to who is allowed to access the information) and without explicit regard to subsequent accesses to that information. Flow control restrictions include, for example, keeping export-controlled information from being transmitted in the clear to the Internet, blocking outside traffic that claims to be from within the organization, restricting web requests to the Internet that are not from the internal web proxy server, and limiting information transfers between organizations based on data structures and content. Transferring information between information systems representing different security domains with different security policies introduces risk that such transfers violate one or more domain security policies. In such situations, information owners/stewards provide guidance at designated policy enforcement points between interconnected systems. Organizations consider mandating specific architectural solutions when required to enforce specific security policies. Enforcement includes, for example: (i) prohibiting information transfers between interconnected systems (i.e., allowing access only); (ii) employing hardware mechanisms to enforce one-way information flows; and (iii) implementing trustworthy regrading mechanisms to reassign security attributes and security labels. Organizations commonly employ information flow control policies and enforcement mechanisms to control the flow of information between designated sources and destinations (e.g., networks, individuals, and devices) within information systems and between interconnected systems. Flow control is based on the characteristics of the information and/or the information path. Enforcement occurs, for example, in boundary protection devices (e.g., gateways, routers, guards, encrypted tunnels, firewalls) that employ rule sets or establish configuration settings that restrict information system services, provide a packet-filtering capability based on header information, or message-filtering capability based on message content (e.g., implementing key word searches or using document characteristics). Organizations also consider the trustworthiness of filtering/inspection mechanisms (i.e., hardware, firmware, and software components) that are critical to information flow enforcement. Control enhancements 3 through 22 primarily address cross-domain solution needs which focus on more advanced filtering techniques, in-depth analysis, and stronger flow enforcement mechanisms implemented in cross-domain products, for example, high-assurance guards. Such capabilities are generally not available in commercial off-the-shelf information technology products.
cf AC-3
cf AC-17
cf AC-19
cf AC-21
cf CM-6
cf CM-7
cf SA-8
cf SC-2
cf SC-5
cf SC-7
cf SC-18
AC-4 (21) PHYSICAL / LOGICAL SEPARATION OF INFORMATION FLOWS
Parameter: ac-4_z organization-defined mechanisms and/or techniques
Value: organization-defined mechanisms and/or techniques
Parameter: ac-4_aa organization-defined required separations by types of information
Value: organization-defined required separations by types of information
Control
|
The information system separates information flows logically or physically using ac-4_z organization-defined mechanisms and/or techniques organization-defined mechanisms and/or techniques to accomplish ac-4_aa organization-defined required separations by types of information organization-defined required separations by types of information . |
Supplemental guidance
Enforcing the separation of information flows by type can enhance protection by ensuring that information is not commingled while in transit and by enabling flow control by transmission paths perhaps not otherwise achievable. Types of separable information include, for example, inbound and outbound communications traffic, service requests and responses, and information of differing security categories.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Information flow enforcement policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
list of required separation of information flows by information types
list of mechanisms and/or techniques used to logically or physically separate information flows
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information flow enforcement responsibilities
system/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement functions
References: None
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
information flow control policies
procedures addressing information flow enforcement
information system design documentation
information system configuration settings and associated documentation
information system baseline configuration
list of information flow authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing information flow enforcement policy
References: None
AC-5 SEPARATION OF DUTIES
Parameter: ac-5_a organization-defined duties of individuals
Value: organization-defined duties of individuals
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Separation of duties addresses the potential for abuse of authorized privileges and helps to reduce the risk of malevolent activity without collusion. Separation of duties includes, for example: (i) dividing mission functions and information system support functions among different individuals and/or roles; (ii) conducting information system support functions with different individuals (e.g., system management, programming, configuration management, quality assurance and testing, and network security); and (iii) ensuring security personnel administering access control functions do not also administer audit functions.
cf AC-3
cf AC-6
cf PE-3
cf PE-4
cf PS-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing divisions of responsibility and separation of duties
information system configuration settings and associated documentation
list of divisions of responsibility and separation of duties
information system access authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining appropriate divisions of responsibility and separation of duties
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing separation of duties policy
References: None
AC-6 LEAST PRIVILEGE
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs the principle of least privilege, allowing only authorized accesses for users (or processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. |
Supplemental guidance
Organizations employ least privilege for specific duties and information systems. The principle of least privilege is also applied to information system processes, ensuring that the processes operate at privilege levels no higher than necessary to accomplish required organizational missions/business functions. Organizations consider the creation of additional processes, roles, and information system accounts as necessary, to achieve least privilege. Organizations also apply least privilege to the development, implementation, and operation of organizational information systems.
cf AC-2
cf AC-3
cf AC-5
cf CM-6
cf CM-7
cf PL-2
AC-6 (1) AUTHORIZE ACCESS TO SECURITY FUNCTIONS
Parameter: ac-6_a organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
Value: organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization explicitly authorizes access to ac-6_a organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information organization-defined security functions (deployed in hardware, software, and firmware) and security-relevant information . |
Supplemental guidance
Security functions include, for example, establishing system accounts, configuring access authorizations (i.e., permissions, privileges), setting events to be audited, and setting intrusion detection parameters. Security-relevant information includes, for example, filtering rules for routers/firewalls, cryptographic key management information, configuration parameters for security services, and access control lists. Explicitly authorized personnel include, for example, security administrators, system and network administrators, system security officers, system maintenance personnel, system programmers, and other privileged users.
cf AC-17
cf AC-18
cf AC-19
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of security functions (deployed in hardware, software, and firmware) and security-relevant information for which access must be explicitly authorized
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
References: None
AC-6 (2) NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS
Parameter: ac-6_b organization-defined security functions or security-relevant information
Value: organization-defined security functions or security-relevant information
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires that users of information system accounts, or roles, with access to ac-6_b organization-defined security functions or security-relevant information organization-defined security functions or security-relevant information , use non-privileged accounts or roles, when accessing nonsecurity functions. |
Supplemental guidance
This control enhancement limits exposure when operating from within privileged accounts or roles. The inclusion of roles addresses situations where organizations implement access control policies such as role-based access control and where a change of role provides the same degree of assurance in the change of access authorizations for both the user and all processes acting on behalf of the user as would be provided by a change between a privileged and non-privileged account.
cf PL-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of system-generated security functions or security-relevant information assigned to information system accounts or roles
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
References: None
AC-6 (5) PRIVILEGED ACCOUNTS
Parameter: ac-6_e organization-defined personnel or roles
Value: organization-defined personnel or roles
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization restricts privileged accounts on the information system to ac-6_e organization-defined personnel or roles organization-defined personnel or roles . |
Supplemental guidance
Privileged accounts, including super user accounts, are typically described as system administrator for various types of commercial off-the-shelf operating systems. Restricting privileged accounts to specific personnel or roles prevents day-to-day users from having access to privileged information/functions. Organizations may differentiate in the application of this control enhancement between allowed privileges for local accounts and for domain accounts provided organizations retain the ability to control information system configurations for key security parameters and as otherwise necessary to sufficiently mitigate risk.
cf CM-6
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of system-generated privileged accounts
list of system administration personnel
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
References: None
AC-6 (9) AUDITING USE OF PRIVILEGED FUNCTIONS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system audits the execution of privileged functions. |
Supplemental guidance
Misuse of privileged functions, either intentionally or unintentionally by authorized users, or by unauthorized external entities that have compromised information system accounts, is a serious and ongoing concern and can have significant adverse impacts on organizations. Auditing the use of privileged functions is one way to detect such misuse, and in doing so, help mitigate the risk from insider threats and the advanced persistent threat (APT).
cf AU-2
Objective
|
Determine if the information system audits the execution of privileged functions. |
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
information system design documentation
information system configuration settings and associated documentation
list of privileged functions to be audited
list of audited events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for reviewing least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms auditing the execution of least privilege functions
References: None
AC-6 (10) PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED FUNCTIONS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system prevents non-privileged users from executing privileged functions to include disabling, circumventing, or altering implemented security safeguards/countermeasures. |
Supplemental guidance
Privileged functions include, for example, establishing information system accounts, performing system integrity checks, or administering cryptographic key management activities. Non-privileged users are individuals that do not possess appropriate authorizations. Circumventing intrusion detection and prevention mechanisms or malicious code protection mechanisms are examples of privileged functions that require protection from non-privileged users.
Objectives
|
Determine if the information system prevents non-privileged users from executing privileged functions to include:
|
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
information system design documentation
information system configuration settings and associated documentation
list of privileged functions and associated user account assignments
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing least privilege functions for non-privileged users
References: None
Objective
|
Determine if the organization employs the principle of least privilege, allowing only authorized access for users (and processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance with organizational missions and business functions. |
Assessment: EXAMINE
Access control policy
procedures addressing least privilege
list of assigned access authorizations (user privileges)
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining least privileges necessary to accomplish specified tasks
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing least privilege functions
References: None
AC-7 UNSUCCESSFUL LOGON ATTEMPTS
Parameter: ac-7_a organization-defined number
Value: organization-defined number
Parameter: ac-7_b organization-defined time period
Value: organization-defined time period
Parameter: ac-7_c organization-defined time period
Value: organization-defined time period
Parameter: ac-7_d organization-defined delay algorithm
Value: organization-defined delay algorithm
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
This control applies regardless of whether the logon occurs via a local or network connection. Due to the potential for denial of service, automatic lockouts initiated by information systems are usually temporary and automatically release after a predetermined time period established by organizations. If a delay algorithm is selected, organizations may choose to employ different algorithms for different information system components based on the capabilities of those components. Responses to unsuccessful logon attempts may be implemented at both the operating system and the application levels.
cf AC-2
cf #ac.9
cf AC-14
cf IA-5
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing unsuccessful logon attempts
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system developers
system/network administrators
Assessment: TEST
Automated mechanisms implementing access control policy for unsuccessful logon attempts
References: None
AC-8 SYSTEM USE NOTIFICATION
Parameter: ac-8_a organization-defined system use notification message or banner
Value: organization-defined system use notification message or banner
Parameter: ac-8_b organization-defined conditions
Value: organization-defined conditions
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
System use notifications can be implemented using messages or warning banners displayed before individuals log in to information systems. System use notifications are used only for access via logon interfaces with human users and are not required when such human interfaces do not exist. Organizations consider system use notification messages/banners displayed in multiple languages based on specific organizational needs and the demographics of information system users. Organizations also consult with the Office of the General Counsel for legal review and approval of warning banner content.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
privacy and security policies, procedures addressing system use notification
documented approval of information system use notification messages or banners
information system audit records
user acknowledgements of notification message or banner
information system design documentation
information system configuration settings and associated documentation
information system use notification messages
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibility for providing legal advice
system developers
Assessment: TEST
Automated mechanisms implementing system use notification
References: None
AC-10 CONCURRENT SESSION CONTROL
Parameter: ac-10_a organization-defined account and/or account type
Value: organization-defined account and/or account type
Parameter: ac-10_b organization-defined number
Value: organization-defined number
priority: P3
baseline-impact: HIGH
Control
|
The information system limits the number of concurrent sessions for each ac-10_a organization-defined account and/or account type organization-defined account and/or account type to ac-10_b organization-defined number organization-defined number . |
Supplemental guidance
Organizations may define the maximum number of concurrent sessions for information system accounts globally, by account type (e.g., privileged user, non-privileged user, domain, specific application), by account, or a combination. For example, organizations may limit the number of concurrent sessions for system administrators or individuals working in particularly sensitive domains or mission-critical applications. This control addresses concurrent sessions for information system accounts and does not address concurrent sessions by single users via multiple system accounts.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing concurrent session control
information system design documentation
information system configuration settings and associated documentation
security plan
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for concurrent session control
References: None
AC-11 SESSION LOCK
Parameter: ac-11_a organization-defined time period
Value: organization-defined time period
priority: P3
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Session locks are temporary actions taken when users stop work and move away from the immediate vicinity of information systems but do not want to log out because of the temporary nature of their absences. Session locks are implemented where session activities can be determined. This is typically at the operating system level, but can also be at the application level. Session locks are not an acceptable substitute for logging out of information systems, for example, if organizations require users to log out at the end of workdays.
cf AC-7
AC-11 (1) PATTERN-HIDING DISPLAYS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system conceals, via the session lock, information previously visible on the display with a publicly viewable image. |
Supplemental guidance
Publicly viewable images can include static or dynamic images, for example, patterns used with screen savers, photographic images, solid colors, clock, battery life indicator, or a blank screen, with the additional caveat that none of the images convey sensitive information.
Objective
|
Determine if the information system conceals, via the session lock, information previously visible on the display with a publicly viewable image. |
Assessment: EXAMINE
Access control policy
procedures addressing session lock
display screen with session lock activated
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Information system session lock mechanisms
References: None
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing session lock
procedures addressing identification and authentication
information system design documentation
information system configuration settings and associated documentation
security plan
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing access control policy for session lock
References
OMB Memorandum 06-16
AC-12 SESSION TERMINATION
Parameter: ac-12_a organization-defined conditions or trigger events requiring session disconnect
Value: organization-defined conditions or trigger events requiring session disconnect
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system automatically terminates a user session after ac-12_a organization-defined conditions or trigger events requiring session disconnect organization-defined conditions or trigger events requiring session disconnect . |
Supplemental guidance
This control addresses the termination of user-initiated logical sessions in contrast to SC-10 which addresses the termination of network connections that are associated with communications sessions (i.e., network disconnect). A logical session (for local, network, and remote access) is initiated whenever a user (or process acting on behalf of a user) accesses an organizational information system. Such user sessions can be terminated (and thus terminate user access) without terminating network sessions. Session termination terminates all processes associated with a user�s logical session except those processes that are specifically created by the user (i.e., session owner) to continue after the session is terminated. Conditions or trigger events requiring automatic session termination can include, for example, organization-defined periods of user inactivity, targeted responses to certain types of incidents, time-of-day restrictions on information system use.
cf SC-10
cf SC-23
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing session termination
information system design documentation
information system configuration settings and associated documentation
list of conditions or trigger events requiring session disconnect
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing user session termination
References: None
AC-14 PERMITTED ACTIONS WITHOUT IDENTIFICATION OR AUTHENTICATION
Parameter: ac-14_a organization-defined user actions
Value: organization-defined user actions
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses situations in which organizations determine that no identification or authentication is required in organizational information systems. Organizations may allow a limited number of user actions without identification or authentication including, for example, when individuals access public websites or other publicly accessible federal information systems, when individuals use mobile phones to receive calls, or when facsimiles are received. Organizations also identify actions that normally require identification or authentication but may under certain circumstances (e.g., emergencies), allow identification or authentication mechanisms to be bypassed. Such bypasses may occur, for example, via a software-readable physical switch that commands bypass of the logon functionality and is protected from accidental or unmonitored use. This control does not apply to situations where identification and authentication have already occurred and are not repeated, but rather to situations where identification and authentication have not yet occurred. Organizations may decide that there are no user actions that can be performed on organizational information systems without identification and authentication and thus, the values for assignment statements can be none.
cf CP-2
cf IA-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing permitted actions without identification or authentication
information system configuration settings and associated documentation
security plan
list of user actions that can be performed without identification or authentication
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
References: None
AC-17 REMOTE ACCESS
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Remote access is access to organizational information systems by users (or processes acting on behalf of users) communicating through external networks (e.g., the Internet). Remote access methods include, for example, dial-up, broadband, and wireless. Organizations often employ encrypted virtual private networks (VPNs) to enhance confidentiality and integrity over remote connections. The use of encrypted VPNs does not make the access non-remote; however, the use of VPNs, when adequately provisioned with appropriate security controls (e.g., employing appropriate encryption techniques for confidentiality and integrity protection) may provide sufficient assurance to the organization that it can effectively treat such connections as internal networks. Still, VPN connections traverse external networks, and the encrypted VPN does not enhance the availability of remote connections. Also, VPNs with encrypted tunnels can affect the organizational capability to adequately monitor network communications traffic for malicious code. Remote access controls apply to information systems other than public web servers or systems designed for public access. This control addresses authorization prior to allowing remote access without specifying the formats for such authorization. While organizations may use interconnection security agreements to authorize remote access connections, such agreements are not required by this control. Enforcing access restrictions for remote connections is addressed in AC-3.
cf AC-2
cf AC-3
cf AC-18
cf AC-19
cf AC-20
cf CA-3
cf CA-7
cf CM-8
cf IA-2
cf IA-3
cf IA-8
cf MA-4
cf PE-17
cf PL-4
cf SC-10
cf SI-4
AC-17 (1) AUTOMATED MONITORING / CONTROL
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system monitors and controls remote access methods. |
Supplemental guidance
Automated monitoring and control of remote access sessions allows organizations to detect cyber attacks and also ensure ongoing compliance with remote access policies by auditing connection activities of remote users on a variety of information system components (e.g., servers, workstations, notebook computers, smart phones, and tablets).
cf AU-2
cf AU-12
Objective
|
Determine if the information system monitors and controls remote access methods. |
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system design documentation
information system configuration settings and associated documentation
information system audit records
information system monitoring records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms monitoring and controlling remote access methods
References: None
AC-17 (2) PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. |
Supplemental guidance
The encryption strength of mechanism is selected based on the security categorization of the information.
cf SC-8
cf SC-12
cf SC-13
Objective
|
Determine if the information system implements cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. |
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated configuration documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Cryptographic mechanisms protecting confidentiality and integrity of remote access sessions
References: None
AC-17 (3) MANAGED ACCESS CONTROL POINTS
Parameter: ac-17_a organization-defined number
Value: organization-defined number
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system routes all remote accesses through ac-17_a organization-defined number organization-defined number managed network access control points. |
Supplemental guidance
Limiting the number of access control points for remote accesses reduces the attack surface for organizations. Organizations consider the Trusted Internet Connections (TIC) initiative requirements for external network connections.
cf SC-7
Objectives
|
Determine if:
|
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system design documentation
list of all managed network access control points
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms routing all remote accesses through managed network access control points
References: None
AC-17 (4) PRIVILEGED COMMANDS / ACCESS
Parameter: ac-17_b organization-defined needs
Value: organization-defined needs
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
cf AC-6
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing remote access to the information system
information system configuration settings and associated documentation
security plan
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing remote access management
References: None
AC-17 (9) DISCONNECT / DISABLE ACCESS
Parameter: ac-17_c organization-defined time period
Value: organization-defined time period
Control
|
The organization provides the capability to expeditiously disconnect or disable remote access to the information system within ac-17_c organization-defined time period organization-defined time period . |
Supplemental guidance
This control enhancement requires organizations to have the capability to rapidly disconnect current users remotely accessing the information system and/or disable further remote access. The speed of disconnect or disablement varies based on the criticality of missions/business functions and the need to eliminate immediate or future remote access to organizational information systems.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing disconnecting or disabling remote access to the information system
information system design documentation
information system configuration settings and associated documentation
security plan, information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing capability to disconnect or disable remote access to information system
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing remote access implementation and usage (including restrictions)
configuration management plan
security plan
information system configuration settings and associated documentation
remote access authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing remote access connections
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Remote access management capability for the information system
References
NIST Special Publication 800-46
NIST Special Publication 800-77
NIST Special Publication 800-113
NIST Special Publication 800-114
NIST Special Publication 800-121
AC-18 WIRELESS ACCESS
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Wireless technologies include, for example, microwave, packet radio (UHF/VHF), 802.11x, and Bluetooth. Wireless networks use authentication protocols (e.g., EAP/TLS, PEAP), which provide credential protection and mutual authentication.
cf AC-2
cf AC-3
cf AC-17
cf AC-19
cf CA-3
cf CA-7
cf CM-8
cf IA-2
cf IA-3
cf IA-8
cf PL-4
cf SI-4
AC-18 (1) AUTHENTICATION AND ENCRYPTION
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system protects wireless access to the system using authentication of [Selection (one or more): users; devices] and encryption. |
Objectives
|
Determine if the information system protects wireless access to the system using encryption and one or more of the following:
|
Assessment: EXAMINE
Access control policy
procedures addressing wireless implementation and usage (including restrictions)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Automated mechanisms implementing wireless access protections to the information system
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing wireless access implementation and usage (including restrictions)
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
wireless access authorizations
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing wireless access connections
organizational personnel with information security responsibilities
Assessment: TEST
Wireless access management capability for the information system
References
NIST Special Publication 800-48
NIST Special Publication 800-94
NIST Special Publication 800-97
AC-19 ACCESS CONTROL FOR MOBILE DEVICES
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
A mobile device is a computing device that: (i) has a small form factor such that it can easily be carried by a single individual; (ii) is designed to operate without a physical connection (e.g., wirelessly transmit or receive information); (iii) possesses local, non-removable or removable data storage; and (iv) includes a self-contained power source. Mobile devices may also include voice communication capabilities, on-board sensors that allow the device to capture information, and/or built-in features for synchronizing local data with remote locations. Examples include smart phones, E-readers, and tablets. Mobile devices are typically associated with a single individual and the device is usually in close proximity to the individual; however, the degree of proximity can vary depending upon on the form factor and size of the device. The processing, storage, and transmission capability of the mobile device may be comparable to or merely a subset of desktop systems, depending upon the nature and intended purpose of the device. Due to the large variety of mobile devices with different technical characteristics and capabilities, organizational restrictions may vary for the different classes/types of such devices. Usage restrictions and specific implementation guidance for mobile devices include, for example, configuration management, device identification and authentication, implementation of mandatory protective software (e.g., malicious code detection, firewall), scanning devices for malicious code, updating virus protection software, scanning for critical software updates and patches, conducting primary operating system (and possibly other resident software) integrity checks, and disabling unnecessary hardware (e.g., wireless, infrared). Organizations are cautioned that the need to provide adequate security for mobile devices goes beyond the requirements in this control. Many safeguards and countermeasures for mobile devices are reflected in other security controls in the catalog allocated in the initial control baselines as starting points for the development of security plans and overlays using the tailoring process. There may also be some degree of overlap in the requirements articulated by the security controls within the different families of controls. AC-20 addresses mobile devices that are not organization-controlled.
cf AC-3
cf AC-7
cf AC-18
cf AC-20
cf CA-9
cf CM-2
cf IA-2
cf IA-3
cf MP-2
cf MP-4
cf MP-5
cf PL-4
cf SC-7
cf #sc.43
cf SI-3
cf SI-4
AC-19 (5) FULL DEVICE / CONTAINER-BASED ENCRYPTION
Parameter: ac-19_c organization-defined mobile devices
Value: organization-defined mobile devices
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs [Selection: full-device encryption; container encryption] to protect the confidentiality and integrity of information on ac-19_c organization-defined mobile devices organization-defined mobile devices . |
Supplemental guidance
Container-based encryption provides a more fine-grained approach to the encryption of data/information on mobile devices, including for example, encrypting selected data structures such as files, records, or fields.
cf MP-5
cf SC-13
cf SC-28
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing access control for mobile devices
information system design documentation
information system configuration settings and associated documentation
encryption mechanism s and associated configuration documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access control responsibilities for mobile devices
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Encryption mechanisms protecting confidentiality and integrity of information on mobile devices
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing access control for mobile device usage (including restrictions)
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
authorizations for mobile device connections to organizational information systems
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel using mobile devices to access organizational information systems
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Access control capability authorizing mobile device connections to organizational information systems
References
OMB Memorandum 06-16
NIST Special Publication 800-114
NIST Special Publication 800-124
NIST Special Publication 800-164
AC-20 USE OF EXTERNAL INFORMATION SYSTEMS
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
|
Supplemental guidance
External information systems are information systems or components of information systems that are outside of the authorization boundary established by organizations and for which organizations typically have no direct supervision and authority over the application of required security controls or the assessment of control effectiveness. External information systems include, for example: (i) personally owned information systems/devices (e.g., notebook computers, smart phones, tablets, personal digital assistants); (ii) privately owned computing and communications devices resident in commercial or public facilities (e.g., hotels, train stations, convention centers, shopping malls, or airports); (iii) information systems owned or controlled by nonfederal governmental organizations; and (iv) federal information systems that are not owned by, operated by, or under the direct supervision and authority of organizations. This control also addresses the use of external information systems for the processing, storage, or transmission of organizational information, including, for example, accessing cloud services (e.g., infrastructure as a service, platform as a service, or software as a service) from organizational information systems. For some external information systems (i.e., information systems operated by other federal agencies, including organizations subordinate to those agencies), the trust relationships that have been established between those organizations and the originating organization may be such, that no explicit terms and conditions are required. Information systems within these organizations would not be considered external. These situations occur when, for example, there are pre-existing sharing/trust agreements (either implicit or explicit) established between federal agencies or organizations subordinate to those agencies, or when such trust agreements are specified by applicable laws, Executive Orders, directives, or policies. Authorized individuals include, for example, organizational personnel, contractors, or other individuals with authorized access to organizational information systems and over which organizations have the authority to impose rules of behavior with regard to system access. Restrictions that organizations impose on authorized individuals need not be uniform, as those restrictions may vary depending upon the trust relationships between organizations. Therefore, organizations may choose to impose different security restrictions on contractors than on state, local, or tribal governments. This control does not apply to the use of external information systems to access public interfaces to organizational information systems (e.g., individuals accessing federal information through www.usa.gov). Organizations establish terms and conditions for the use of external information systems in accordance with organizational security policies and procedures. Terms and conditions address as a minimum: types of applications that can be accessed on organizational information systems from external information systems; and the highest security category of information that can be processed, stored, or transmitted on external information systems. If terms and conditions with the owners of external information systems cannot be established, organizations may impose restrictions on organizational personnel using those external systems.
cf AC-3
cf AC-17
cf AC-19
cf CA-3
cf PL-4
cf SA-9
AC-20 (1) LIMITS ON AUTHORIZED USE
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
|
Supplemental guidance
This control enhancement recognizes that there are circumstances where individuals using external information systems (e.g., contractors, coalition partners) need to access organizational information systems. In those situations, organizations need confidence that the external information systems contain the necessary security safeguards (i.e., security controls), so as not to compromise, damage, or otherwise harm organizational information systems. Verification that the required security controls have been implemented can be achieved, for example, by third-party, independent assessments, attestations, or other means, depending on the confidence level required by organizations.
cf CA-2
Objectives
|
Determine if the organization permits authorized individuals to use an external information system to access the information system or to process, store, or transmit organization-controlled information only when the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing the use of external information systems
security plan
information system connection or processing agreements
account management documents
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing limits on use of external information systems
References: None
AC-20 (2) PORTABLE STORAGE DEVICES
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization [Selection: restricts; prohibits] the use of organization-controlled portable storage devices by authorized individuals on external information systems. |
Supplemental guidance
Limits on the use of organization-controlled portable storage devices in external information systems include, for example, complete prohibition of the use of such devices or restrictions on how the devices may be used and under what conditions the devices may be used.
Objective
|
Determine if the organization restricts or prohibits the use of organization-controlled portable storage devices by authorized individuals on external information systems. |
Assessment: EXAMINE
Access control policy
procedures addressing the use of external information systems
security plan
information system configuration settings and associated documentation
information system connection or processing agreements
account management documents
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for restricting or prohibiting use of organization-controlled storage devices on external information systems
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing restrictions on use of portable storage devices
References: None
Objectives
|
Determine if the organization establishes terms and conditions, consistent with any trust relationships established with other organizations owning, operating, and/or maintaining external information systems, allowing authorized individuals to:
|
Assessment: EXAMINE
Access control policy
procedures addressing the use of external information systems
external information systems terms and conditions
list of types of applications accessible from external information systems
maximum security categorization for information processed, stored, or transmitted on external information systems
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for defining terms and conditions for use of external information systems to access organizational systems
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing terms and conditions on use of external information systems
References
FIPS Publication 199
AC-21 INFORMATION SHARING
Parameter: ac-21_a organization-defined information sharing circumstances where user discretion is required
Value: organization-defined information sharing circumstances where user discretion is required
Parameter: ac-21_b organization-defined automated mechanisms or manual processes
Value: organization-defined automated mechanisms or manual processes
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies to information that may be restricted in some manner (e.g., privileged medical information, contract-sensitive information, proprietary information, personally identifiable information, classified information related to special access programs or compartments) based on some formal or administrative determination. Depending on the particular information-sharing circumstances, sharing partners may be defined at the individual, group, or organizational level. Information may be defined by content, type, security category, or special access program/compartment.
cf AC-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing user-based collaboration and information sharing (including restrictions)
information system design documentation
information system configuration settings and associated documentation
list of users authorized to make information sharing/collaboration decisions
list of information sharing circumstances requiring user discretion
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel responsible for making information sharing/collaboration decisions
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms or manual process implementing access authorizations supporting information sharing/user collaboration decisions
References: None
AC-22 PUBLICLY ACCESSIBLE CONTENT
Parameter: ac-22_a organization-defined frequency
Value: organization-defined frequency
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
In accordance with federal laws, Executive Orders, directives, policies, regulations, standards, and/or guidance, the general public is not authorized access to nonpublic information (e.g., information protected under the Privacy Act and proprietary information). This control addresses information systems that are controlled by the organization and accessible to the general public, typically without identification or authentication. The posting of information on non-organization information systems is covered by organizational policy.
cf AC-3
cf AC-4
cf AT-2
cf AT-3
cf #au.13
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing publicly accessible content
list of users authorized to post publicly accessible content on organizational information systems
training materials and/or records
records of publicly accessible information reviews
records of response to nonpublic information on public websites
system audit logs
security awareness training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing publicly accessible information posted on organizational information systems
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing management of publicly accessible content
References: None
AWARENESS AND TRAINING
AT-1 SECURITY AWARENESS AND TRAINING POLICY AND PROCEDURES
Parameter: at-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: at-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: at-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AT family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security awareness and training responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-16
NIST Special Publication 800-50
NIST Special Publication 800-100
AT-2 SECURITY AWARENESS TRAINING
Parameter: at-2_a organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization provides basic security awareness training to information system users (including managers, senior executives, and contractors):
|
Supplemental guidance
Organizations determine the appropriate content of security awareness training and security awareness techniques based on the specific organizational requirements and the information systems to which personnel have authorized access. The content includes a basic understanding of the need for information security and user actions to maintain security and to respond to suspected security incidents. The content also addresses awareness of the need for operations security. Security awareness techniques can include, for example, displaying posters, offering supplies inscribed with security reminders, generating email advisories/notices from senior organizational officials, displaying logon screen messages, and conducting information security awareness events.
cf AT-3
cf AT-4
cf PL-4
AT-2 (2) INSIDER THREAT
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization includes security awareness training on recognizing and reporting potential indicators of insider threat. |
Supplemental guidance
Potential indicators and possible precursors of insider threat can include behaviors such as inordinate, long-term job dissatisfaction, attempts to gain access to information not required for job performance, unexplained access to financial resources, bullying or sexual harassment of fellow employees, workplace violence, and other serious violations of organizational policies, procedures, directives, rules, or practices. Security awareness training includes how to communicate employee and management concerns regarding potential indicators of insider threat through appropriate organizational channels in accordance with established organizational policies and procedures.
cf PL-4
cf #pm.12
cf PS-3
cf PS-6
Objective
|
Determine if the organization includes security awareness training on recognizing and reporting potential indicators of insider threat. |
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security awareness training implementation
security awareness training curriculum
security awareness training materials
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel that participate in security awareness training
organizational personnel with responsibilities for basic security awareness training
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security awareness training implementation
appropriate codes of federal regulations
security awareness training curriculum
security awareness training materials
security plan
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for security awareness training
organizational personnel with information security responsibilities
organizational personnel comprising the general information system user community
Assessment: TEST
Automated mechanisms managing security awareness training
References
C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
Executive Order 13587
NIST Special Publication 800-50
AT-3 ROLE-BASED SECURITY TRAINING
Parameter: at-3_a organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization provides role-based security training to personnel with assigned security roles and responsibilities:
|
Supplemental guidance
Organizations determine the appropriate content of security training based on the assigned roles and responsibilities of individuals and the specific security requirements of organizations and the information systems to which personnel have authorized access. In addition, organizations provide enterprise architects, information system developers, software developers, acquisition/procurement officials, information system managers, system/network administrators, personnel conducting configuration management and auditing activities, personnel performing independent verification and validation activities, security control assessors, and other personnel having access to system-level software, adequate security-related technical training specifically tailored for their assigned duties. Comprehensive role-based training addresses management, operational, and technical roles and responsibilities covering physical, personnel, and technical safeguards and countermeasures. Such training can include for example, policies, procedures, tools, and artifacts for the organizational security roles defined. Organizations also provide the training necessary for individuals to carry out their responsibilities related to operations and supply chain security within the context of organizational information security programs. Role-based security training also applies to contractors providing services to federal agencies.
cf AT-2
cf AT-4
cf PL-4
cf PS-7
cf SA-3
cf #sa.12
cf #sa.16
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security training implementation
codes of federal regulations
security training curriculum
security training materials
security plan
training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for role-based security training
organizational personnel with assigned information system security roles and responsibilities
Assessment: TEST
Automated mechanisms managing role-based security training
References
C.F.R. Part 5 Subpart C (5 C.F.R. 930.301)
NIST Special Publication 800-16
NIST Special Publication 800-50
AT-4 SECURITY TRAINING RECORDS
Parameter: at-4_a organization-defined time period
Value: organization-defined time period
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Documentation for specialized training may be maintained by individual supervisors at the option of the organization.
cf AT-2
cf AT-3
cf #pm.14
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security awareness and training policy
procedures addressing security training records
security awareness and training records
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security training record retention responsibilities
Assessment: TEST
Automated mechanisms supporting management of security training records
References: None
AUDIT AND ACCOUNTABILITY
AU-1 AUDIT AND ACCOUNTABILITY POLICY AND PROCEDURES
Parameter: au-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: au-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: au-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the AU family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
AU-2 AUDIT EVENTS
Parameter: au-2_a organization-defined auditable events
Value: organization-defined auditable events
Parameter: au-2_b organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event
Value: organization-defined audited events (the subset of the auditable events defined in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified event
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
An event is any observable occurrence in an organizational information system. Organizations identify audit events as those events which are significant and relevant to the security of information systems and the environments in which those systems operate in order to meet specific and ongoing audit needs. Audit events can include, for example, password changes, failed logons, or failed accesses related to information systems, administrative privilege usage, PIV credential usage, or third-party credential usage. In determining the set of auditable events, organizations consider the auditing appropriate for each of the security controls to be implemented. To balance auditing requirements with other information system needs, this control also requires identifying that subset of auditable events that are audited at a given point in time. For example, organizations may determine that information systems must have the capability to log every file access both successful and unsuccessful, but not activate that capability except for specific circumstances due to the potential burden on system performance. Auditing requirements, including the need for auditable events, may be referenced in other security controls and control enhancements. Organizations also include auditable events that are required by applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Audit records can be generated at various levels of abstraction, including at the packet level as information traverses the network. Selecting the appropriate level of abstraction is a critical aspect of an audit capability and can facilitate the identification of root causes to problems. Organizations consider in the definition of auditable events, the auditing necessary to cover related events such as the steps in distributed, transaction-based processes (e.g., processes that are distributed across multiple organizations) and actions that occur in service-oriented architectures.
cf AC-6
cf AC-17
cf AU-3
cf AU-12
cf MA-4
cf MP-2
cf MP-4
cf SI-4
AU-2 (3) REVIEWS AND UPDATES
Parameter: au-2_c organization-defined frequency
Value: organization-defined frequency
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization reviews and updates the audited events au-2_c organization-defined frequency organization-defined frequency . |
Supplemental guidance
Over time, the events that organizations believe should be audited may change. Reviewing and updating the set of audited events periodically is necessary to ensure that the current set is still necessary and sufficient.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing auditable events
security plan
list of organization-defined auditable events
auditable events review and update records
information system audit records
information system incident reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting review and update of auditable events
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing auditable events
security plan
information system design documentation
information system configuration settings and associated documentation
information system audit records
information system auditable events
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing information system auditing
References
NIST Special Publication 800-92
http://idmanagement.gov
AU-3 CONTENT OF AUDIT RECORDS
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system generates audit records containing information that establishes what type of event occurred, when the event occurred, where the event occurred, the source of the event, the outcome of the event, and the identity of any individuals or subjects associated with the event. |
Supplemental guidance
Audit record content that may be necessary to satisfy the requirement of this control, includes, for example, time stamps, source and destination addresses, user/process identifiers, event descriptions, success/fail indications, filenames involved, and access control or flow control rules invoked. Event outcomes can include indicators of event success or failure and event-specific results (e.g., the security state of the information system after the event occurred).
cf AU-2
cf AU-8
cf AU-12
cf SI-11
AU-3 (1) ADDITIONAL AUDIT INFORMATION
Parameter: au-3_a organization-defined additional, more detailed information
Value: organization-defined additional, more detailed information
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system generates audit records containing the following additional information: au-3_a organization-defined additional, more detailed information organization-defined additional, more detailed information . |
Supplemental guidance
Detailed information that organizations may consider in audit records includes, for example, full text recording of privileged commands or the individual identities of group account users. Organizations consider limiting the additional audit information to only that information explicitly needed for specific audit requirements. This facilitates the use of audit trails and audit logs by not including information that could potentially be misleading or could make it more difficult to locate information of interest.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing content of audit records
information system design documentation
information system configuration settings and associated documentation
list of organization-defined auditable events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Information system audit capability
References: None
Objectives
|
Determine if the information system generates audit records containing information that establishes:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing content of audit records
information system design documentation
information system configuration settings and associated documentation
list of organization-defined auditable events
information system audit records
information system incident reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms implementing information system auditing of auditable events
References: None
AU-4 AUDIT STORAGE CAPACITY
Parameter: au-4_a organization-defined audit record storage requirements
Value: organization-defined audit record storage requirements
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization allocates audit record storage capacity in accordance with au-4_a organization-defined audit record storage requirements organization-defined audit record storage requirements . |
Supplemental guidance
Organizations consider the types of auditing to be performed and the audit processing requirements when allocating audit storage capacity. Allocating sufficient audit storage capacity reduces the likelihood of such capacity being exceeded and resulting in the potential loss or reduction of auditing capability.
cf AU-2
cf AU-5
cf AU-6
cf AU-7
cf AU-11
cf SI-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit storage capacity
information system design documentation
information system configuration settings and associated documentation
audit record storage requirements
audit record storage capability for information system components
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Audit record storage capacity and related configuration settings
References: None
AU-5 RESPONSE TO AUDIT PROCESSING FAILURES
Parameter: au-5_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: au-5_b organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)
Value: organization-defined actions to be taken (e.g., shut down information system, overwrite oldest audit records, stop generating audit records)
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Audit processing failures include, for example, software/hardware errors, failures in the audit capturing mechanisms, and audit storage capacity being reached or exceeded. Organizations may choose to define additional actions for different audit processing failures (e.g., by type, by location, by severity, or a combination of such factors). This control applies to each audit data storage repository (i.e., distinct information system component where audit records are stored), the total audit storage capacity of organizations (i.e., all audit data storage repositories combined), or both.
cf AU-4
cf SI-12
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing response to audit processing failures
information system design documentation
security plan
information system configuration settings and associated documentation
list of personnel to be notified in case of an audit processing failure
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing information system response to audit processing failures
References: None
AU-6 AUDIT REVIEW, ANALYSIS, AND REPORTING
Parameter: au-6_a organization-defined frequency
Value: organization-defined frequency
Parameter: au-6_b organization-defined inappropriate or unusual activity
Value: organization-defined inappropriate or unusual activity
Parameter: au-6_c organization-defined personnel or roles
Value: organization-defined personnel or roles
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Audit review, analysis, and reporting covers information security-related auditing performed by organizations including, for example, auditing that results from monitoring of account usage, remote access, wireless connectivity, mobile device connection, configuration settings, system component inventory, use of maintenance tools and nonlocal maintenance, physical access, temperature and humidity, equipment delivery and removal, communications at the information system boundaries, use of mobile code, and use of VoIP. Findings can be reported to organizational entities that include, for example, incident response team, help desk, information security group/department. If organizations are prohibited from reviewing and analyzing audit information or unable to conduct such activities (e.g., in certain national security applications or systems), the review/analysis may be carried out by other organizations granted such authority.
cf AC-2
cf AC-3
cf AC-6
cf AC-17
cf AT-3
cf AU-7
cf #au.16
cf CA-7
cf CM-5
cf CM-10
cf CM-11
cf IA-3
cf IA-5
cf IR-5
cf IR-6
cf MA-4
cf MP-4
cf PE-3
cf PE-6
cf PE-14
cf PE-16
cf RA-5
cf SC-7
cf SC-18
cf SC-19
cf SI-3
cf SI-4
cf SI-7
AU-6 (1) PROCESS INTEGRATION
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms to integrate audit review, analysis, and reporting processes to support organizational processes for investigation and response to suspicious activities. |
Supplemental guidance
Organizational processes benefiting from integrated audit review, analysis, and reporting include, for example, incident response, continuous monitoring, contingency planning, and Inspector General audits.
cf AU-12
cf #pm.7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
procedures addressing investigation and response to suspicious activities
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms integrating audit review, analysis, and reporting processes
References: None
AU-6 (3) CORRELATE AUDIT REPOSITORIES
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. |
Supplemental guidance
Organization-wide situational awareness includes awareness across all three tiers of risk management (i.e., organizational, mission/business process, and information system) and supports cross-organization awareness.
cf AU-12
cf IR-4
Objective
|
Determine if the organization analyzes and correlates audit records across different repositories to gain organization-wide situational awareness. |
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
information system design documentation
information system configuration settings and associated documentation
information system audit records across different repositories
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting analysis and correlation of audit records
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit review, analysis, and reporting
reports of audit findings
records of actions taken in response to reviews/analyses of audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit review, analysis, and reporting responsibilities
organizational personnel with information security responsibilities
References: None
AU-7 AUDIT REDUCTION AND REPORT GENERATION
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system provides an audit reduction and report generation capability that:
|
Supplemental guidance
Audit reduction is a process that manipulates collected audit information and organizes such information in a summary format that is more meaningful to analysts. Audit reduction and report generation capabilities do not always emanate from the same information system or from the same organizational entities conducting auditing activities. Audit reduction capability can include, for example, modern data mining techniques with advanced data filters to identify anomalous behavior in audit records. The report generation capability provided by the information system can generate customizable reports. Time ordering of audit records can be a significant issue if the granularity of the timestamp in the record is insufficient.
cf AU-6
AU-7 (1) AUTOMATIC PROCESSING
Parameter: au-7_a organization-defined audit fields within audit records
Value: organization-defined audit fields within audit records
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system provides the capability to process audit records for events of interest based on au-7_a organization-defined audit fields within audit records organization-defined audit fields within audit records . |
Supplemental guidance
Events of interest can be identified by the content of specific audit record fields including, for example, identities of individuals, event types, event locations, event times, event dates, system resources involved, IP addresses involved, or information objects accessed. Organizations may define audit event criteria to any degree of granularity required, for example, locations selectable by general networking location (e.g., by network or subnetwork) or selectable by specific information system component.
cf AU-2
cf AU-12
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit reduction and report generation
information system design documentation
information system configuration settings and associated documentation
audit reduction, review, analysis, and reporting tools
audit record criteria (fields) establishing events of interest
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit reduction and report generation responsibilities
organizational personnel with information security responsibilities
system developers
Assessment: TEST
Audit reduction and report generation capability
References: None
Objectives
|
Determine if the information system provides an audit reduction and report generation capability that supports:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit reduction and report generation
information system design documentation
information system configuration settings and associated documentation
audit reduction, review, analysis, and reporting tools
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit reduction and report generation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Audit reduction and report generation capability
References: None
AU-8 TIME STAMPS
Parameter: au-8_a organization-defined granularity of time measurement
Value: organization-defined granularity of time measurement
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Time stamps generated by the information system include date and time. Time is commonly expressed in Coordinated Universal Time (UTC), a modern continuation of Greenwich Mean Time (GMT), or local time with an offset from UTC. Granularity of time measurements refers to the degree of synchronization between information system clocks and reference clocks, for example, clocks synchronizing within hundreds of milliseconds or within tens of milliseconds. Organizations may define different time granularities for different system components. Time service can also be critical to other security capabilities such as access control and identification and authentication, depending on the nature of the mechanisms used to support those capabilities.
cf AU-3
cf AU-12
AU-8 (1) SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE
Parameter: au-8_b organization-defined frequency
Value: organization-defined frequency
Parameter: au-8_c organization-defined authoritative time source
Value: organization-defined authoritative time source
Parameter: au-8_d organization-defined time period
Value: organization-defined time period
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
This control enhancement provides uniformity of time stamps for information systems with multiple system clocks and systems connected over a network.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing time stamp generation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing internal information system clock synchronization
References: None
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing time stamp generation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing time stamp generation
References: None
AU-9 PROTECTION OF AUDIT INFORMATION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system protects audit information and audit tools from unauthorized access, modification, and deletion. |
Supplemental guidance
Audit information includes all information (e.g., audit records, audit settings, and audit reports) needed to successfully audit information system activity. This control focuses on technical protection of audit information. Physical protection of audit information is addressed by media protection controls and physical and environmental protection controls.
cf AC-3
cf AC-6
cf MP-2
cf MP-4
cf PE-2
cf PE-3
cf PE-6
AU-9 (2) AUDIT BACKUP ON SEPARATE PHYSICAL SYSTEMS / COMPONENTS
Parameter: au-9_a organization-defined frequency
Value: organization-defined frequency
baseline-impact: HIGH
Control
|
The information system backs up audit records au-9_a organization-defined frequency organization-defined frequency onto a physically different system or system component than the system or component being audited. |
Supplemental guidance
This control enhancement helps to ensure that a compromise of the information system being audited does not also result in a compromise of the audit records.
cf AU-4
cf AU-5
cf AU-11
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, system or media storing backups of information system audit records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing the backing up of audit records
References: None
AU-9 (4) ACCESS BY SUBSET OF PRIVILEGED USERS
Parameter: au-9_b organization-defined subset of privileged users
Value: organization-defined subset of privileged users
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization authorizes access to management of audit functionality to only au-9_b organization-defined subset of privileged users organization-defined subset of privileged users . |
Supplemental guidance
Individuals with privileged access to an information system and who are also the subject of an audit by that system, may affect the reliability of audit information by inhibiting audit activities or modifying audit records. This control enhancement requires that privileged access be further defined between audit-related privileges and other privileges, thus limiting the users with audit-related privileges.
cf AC-5
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, system-generated list of privileged users with access to management of audit functionality
access authorizations
access control list
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms managing access to audit functionality
References: None
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
access control policy and procedures
procedures addressing protection of audit information
information system design documentation
information system configuration settings and associated documentation, information system audit records
audit tools
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit and accountability responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit information protection
References: None
AU-11 AUDIT RECORD RETENTION
Parameter: au-11_a organization-defined time period consistent with records retention policy
Value: organization-defined time period consistent with records retention policy
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization retains audit records for au-11_a organization-defined time period consistent with records retention policy organization-defined time period consistent with records retention policy to provide support for after-the-fact investigations of security incidents and to meet regulatory and organizational information retention requirements. |
Supplemental guidance
Organizations retain audit records until it is determined that they are no longer needed for administrative, legal, audit, or other operational purposes. This includes, for example, retention and availability of audit records relative to Freedom of Information Act (FOIA) requests, subpoenas, and law enforcement actions. Organizations develop standard categories of audit records relative to such types of actions and standard response processes for each type of action. The National Archives and Records Administration (NARA) General Records Schedules provide federal policy on record retention.
cf AU-4
cf AU-5
cf AU-9
cf MP-6
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Audit and accountability policy
audit record retention policy and procedures
security plan
organization-defined retention period for audit records
audit record archives
audit logs
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record retention responsibilities
organizational personnel with information security responsibilities
system/network administrators
References: None
AU-12 AUDIT GENERATION
Parameter: au-12_a organization-defined information system components
Value: organization-defined information system components
Parameter: au-12_b organization-defined personnel or roles
Value: organization-defined personnel or roles
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Audit records can be generated from many different information system components. The list of audited events is the set of events for which audits are to be generated. These events are typically a subset of all events for which the information system is capable of generating audit records.
cf AC-3
cf AU-2
cf AU-3
cf AU-6
cf AU-7
Objectives
|
Determine if:
|
Assessment: EXAMINE
Audit and accountability policy
procedures addressing audit record generation
security plan
information system design documentation
information system configuration settings and associated documentation
list of auditable events
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with audit record generation responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms implementing audit record generation capability
References: None
SECURITY ASSESSMENT AND AUTHORIZATION
CA-1 SECURITY ASSESSMENT AND AUTHORIZATION POLICY AND PROCEDURES
Parameter: ca-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ca-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: ca-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment and authorization responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-37
NIST Special Publication 800-53A
NIST Special Publication 800-100
CA-2 SECURITY ASSESSMENTS
Parameter: ca-2_a organization-defined frequency
Value: organization-defined frequency
Parameter: ca-2_b organization-defined individuals or roles
Value: organization-defined individuals or roles
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Organizations assess security controls in organizational information systems and the environments in which those systems operate as part of: (i) initial and ongoing security authorizations; (ii) FISMA annual assessments; (iii) continuous monitoring; and (iv) system development life cycle activities. Security assessments: (i) ensure that information security is built into organizational information systems; (ii) identify weaknesses and deficiencies early in the development process; (iii) provide essential information needed to make risk-based decisions as part of security authorization processes; and (iv) ensure compliance to vulnerability mitigation procedures. Assessments are conducted on the implemented security controls from Appendix F (main catalog) and Appendix G (Program Management controls) as documented in System Security Plans and Information Security Program Plans. Organizations can use other types of assessment activities such as vulnerability scanning and system monitoring to maintain the security posture of information systems during the entire life cycle. Security assessment reports document assessment results in sufficient detail as deemed necessary by organizations, to determine the accuracy and completeness of the reports and whether the security controls are implemented correctly, operating as intended, and producing the desired outcome with respect to meeting security requirements. The FISMA requirement for assessing security controls at least annually does not require additional assessment activities to those activities already in place in organizational security authorization processes. Security assessment results are provided to the individuals or roles appropriate for the types of assessments being conducted. For example, assessments conducted in support of security authorization decisions are provided to authorizing officials or authorizing official designated representatives. To satisfy annual assessment requirements, organizations can use assessment results from the following sources: (i) initial or ongoing information system authorizations; (ii) continuous monitoring; or (iii) system development life cycle activities. Organizations ensure that security assessment results are current, relevant to the determination of security control effectiveness, and obtained with the appropriate level of assessor independence. Existing security control assessment results can be reused to the extent that the results are still valid and can also be supplemented with additional assessments as needed. Subsequent to initial authorizations and in accordance with OMB policy, organizations assess security controls during continuous monitoring. Organizations establish the frequency for ongoing security control assessments in accordance with organizational continuous monitoring strategies. Information Assurance Vulnerability Alerts provide useful examples of vulnerability mitigation procedures. External audits (e.g., audits by external entities such as regulatory agencies) are outside the scope of this control.
cf CA-5
cf CA-6
cf CA-7
cf #pm.9
cf RA-5
cf SA-11
cf #sa.12
cf SI-4
CA-2 (1) INDEPENDENT ASSESSORS
Parameter: ca-2_c organization-defined level of independence
Value: organization-defined level of independence
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs assessors or assessment teams with ca-2_c organization-defined level of independence organization-defined level of independence to conduct security control assessments. |
Supplemental guidance
Independent assessors or assessment teams are individuals or groups who conduct impartial assessments of organizational information systems. Impartiality implies that assessors are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the organizational information systems under assessment or to the determination of security control effectiveness. To achieve impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in positions of advocacy for the organizations acquiring their services. Independent assessments can be obtained from elements within organizations or can be contracted to public or private sector entities outside of organizations. Authorizing officials determine the required level of independence based on the security categories of information systems and/or the ultimate risk to organizational operations, organizational assets, or individuals. Authorizing officials also determine if the level of assessor independence provides sufficient assurance that the results are sound and can be used to make credible, risk-based decisions. This includes determining whether contracted security assessment services have sufficient independence, for example, when information system owners are not directly involved in contracting processes or cannot unduly influence the impartiality of assessors conducting assessments. In special situations, for example, when organizations that own the information systems are small or organizational structures require that assessments are conducted by individuals that are in the developmental, operational, or management chain of system owners, independence in assessment processes can be achieved by ensuring that assessment results are carefully reviewed and analyzed by independent teams of experts to validate the completeness, accuracy, integrity, and reliability of the results. Organizations recognize that assessments performed for purposes other than direct support to authorization decisions are, when performed by assessors with sufficient independence, more likely to be useable for such decisions, thereby reducing the need to repeat assessments.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessments
security authorization package (including security plan, security assessment plan, security assessment report, plan of action and milestones, authorization statement)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
References: None
CA-2 (2) SPECIALIZED ASSESSMENTS
Parameter: ca-2_d organization-defined frequency
Value: organization-defined frequency
Parameter: ca-2_e organization-defined other forms of security assessment
Value: organization-defined other forms of security assessment
baseline-impact: HIGH
Control
|
The organization includes as part of security control assessments, ca-2_d organization-defined frequency organization-defined frequency , [Selection: announced; unannounced], [Selection (one or more): in-depth monitoring; vulnerability scanning; malicious user testing; insider threat assessment; performance/load testing; ca-2_e organization-defined other forms of security assessment organization-defined other forms of security assessment ]. |
Supplemental guidance
Organizations can employ information system monitoring, insider threat assessments, malicious user testing, and other forms of testing (e.g., verification and validation) to improve readiness by exercising organizational capabilities and indicating current performance levels as a means of focusing actions to improve security. Organizations conduct assessment activities in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. Authorizing officials approve the assessment methods in coordination with the organizational risk executive function. Organizations can incorporate vulnerabilities uncovered during assessments into vulnerability remediation processes.
cf PE-3
cf SI-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessments
security plan
security assessment plan
security assessment report
security assessment evidence
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting security control assessment
References: None
CA-2 (3) EXTERNAL ORGANIZATIONS
Parameter: ca-2_f organization-defined information system
Value: organization-defined information system
Parameter: ca-2_g organization-defined external organization
Value: organization-defined external organization
Parameter: ca-2_h organization-defined requirements
Value: organization-defined requirements
Control
|
The organization accepts the results of an assessment of ca-2_f organization-defined information system organization-defined information system performed by ca-2_g organization-defined external organization organization-defined external organization when the assessment meets ca-2_h organization-defined requirements organization-defined requirements . |
Supplemental guidance
Organizations may often rely on assessments of specific information systems by other (external) organizations. Utilizing such existing assessments (i.e., reusing existing assessment evidence) can significantly decrease the time and resources required for organizational assessments by limiting the amount of independent assessment activities that organizations need to perform. The factors that organizations may consider in determining whether to accept assessment results from external organizations can vary. Determinations for accepting assessment results can be based on, for example, past assessment experiences one organization has had with another organization, the reputation that organizations have with regard to assessments, the level of detail of supporting assessment documentation provided, or mandates imposed upon organizations by federal legislation, policies, or directives.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessments
security plan
security assessment requirements
security assessment plan
security assessment report
security assessment evidence
plan of action and milestones
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
personnel performing security assessments for the specified external organization
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security assessment planning
procedures addressing security assessments
security assessment plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting security assessment, security assessment plan development, and/or security assessment reporting
References
Executive Order 13587
FIPS Publication 199
NIST Special Publication 800-37
NIST Special Publication 800-39
NIST Special Publication 800-53A
NIST Special Publication 800-115
NIST Special Publication 800-137
CA-3 SYSTEM INTERCONNECTIONS
Parameter: ca-3_a organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies to dedicated connections between information systems (i.e., system interconnections) and does not apply to transitory, user-controlled connections such as email and website browsing. Organizations carefully consider the risks that may be introduced when information systems are connected to other systems with different security requirements and security controls, both within organizations and external to organizations. Authorizing officials determine the risk associated with information system connections and the appropriate controls employed. If interconnecting systems have the same authorizing official, organizations do not need to develop Interconnection Security Agreements. Instead, organizations can describe the interface characteristics between those interconnecting systems in their respective security plans. If interconnecting systems have different authorizing officials within the same organization, organizations can either develop Interconnection Security Agreements or describe the interface characteristics between systems in the security plans for the respective systems. Organizations may also incorporate Interconnection Security Agreement information into formal contracts, especially for interconnections established between federal agencies and nonfederal (i.e., private sector) organizations. Risk considerations also include information systems sharing the same networks. For certain technologies (e.g., space, unmanned aerial vehicles, and medical devices), there may be specialized connections in place during preoperational testing. Such connections may require Interconnection Security Agreements and be subject to additional security controls.
cf AC-3
cf AC-4
cf AC-20
cf AU-2
cf AU-12
cf #au.16
cf CA-7
cf IA-3
cf SA-9
cf SC-7
cf SI-4
CA-3 (3) UNCLASSIFIED NON-NATIONAL SECURITY SYSTEM CONNECTIONS
Parameter: ca-3_e organization-defined unclassified, non-national security system
Value: organization-defined unclassified, non-national security system
Parameter: ca-3_f Assignment; organization-defined boundary protection device
Value: Assignment; organization-defined boundary protection device
Control
|
The organization prohibits the direct connection of an ca-3_e organization-defined unclassified, non-national security system organization-defined unclassified, non-national security system to an external network without the use of ca-3_f Assignment; organization-defined boundary protection device Assignment; organization-defined boundary protection device . |
Supplemental guidance
Organizations typically do not have control over external networks (e.g., the Internet). Approved boundary protection devices (e.g., routers, firewalls) mediate communications (i.e., information flows) between unclassified non-national security systems and external networks. This control enhancement is required for organizations processing, storing, or transmitting Controlled Unclassified Information (CUI).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system interconnection security agreements
security plan
information system design documentation
information system configuration settings and associated documentation
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for managing direct connections to external networks
network administrators
organizational personnel with information security responsibilities
personnel managing directly connected external networks
Assessment: TEST
Automated mechanisms supporting the management of external network connections
References: None
CA-3 (5) RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS
Parameter: ca-3_h organization-defined information systems
Value: organization-defined information systems
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy for allowing ca-3_h organization-defined information systems organization-defined information systems to connect to external information systems. |
Supplemental guidance
Organizations can constrain information system connectivity to external domains (e.g., websites) by employing one of two policies with regard to such connectivity: (i) allow-all, deny by exception, also known as blacklisting (the weaker of the two policies); or (ii) deny-all, allow by exception, also known as whitelisting (the stronger of the two policies). For either policy, organizations determine what exceptions, if any, are acceptable.
cf CM-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system interconnection agreements
security plan
information system design documentation
information system configuration settings and associated documentation
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for managing connections to external information systems
network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms implementing restrictions on external system connections
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
information system Interconnection Security Agreements
security plan
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for developing, implementing, or approving information system interconnection agreements
organizational personnel with information security responsibilities
personnel managing the system(s) to which the Interconnection Security Agreement applies
References
FIPS Publication 199
NIST Special Publication 800-47
CA-5 PLAN OF ACTION AND MILESTONES
Parameter: ca-5_a organization-defined frequency
Value: organization-defined frequency
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Plans of action and milestones are key documents in security authorization packages and are subject to federal reporting requirements established by OMB.
cf CA-2
cf CA-7
cf CM-4
cf #pm.4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing plan of action and milestones
security plan
security assessment plan
security assessment report
security assessment evidence
plan of action and milestones
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with plan of action and milestones development and implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms for developing, implementing, and maintaining plan of action and milestones
References
OMB Memorandum 02-01
NIST Special Publication 800-37
CA-6 SECURITY AUTHORIZATION
Parameter: ca-6_a organization-defined frequency
Value: organization-defined frequency
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Security authorizations are official management decisions, conveyed through authorization decision documents, by senior organizational officials or executives (i.e., authorizing officials) to authorize operation of information systems and to explicitly accept the risk to organizational operations and assets, individuals, other organizations, and the Nation based on the implementation of agreed-upon security controls. Authorizing officials provide budgetary oversight for organizational information systems or assume responsibility for the mission/business operations supported by those systems. The security authorization process is an inherently federal responsibility and therefore, authorizing officials must be federal employees. Through the security authorization process, authorizing officials assume responsibility and are accountable for security risks associated with the operation and use of organizational information systems. Accordingly, authorizing officials are in positions with levels of authority commensurate with understanding and accepting such information security-related risks. OMB policy requires that organizations conduct ongoing authorizations of information systems by implementing continuous monitoring programs. Continuous monitoring programs can satisfy three-year reauthorization requirements, so separate reauthorization processes are not necessary. Through the employment of comprehensive continuous monitoring processes, critical information contained in authorization packages (i.e., security plans, security assessment reports, and plans of action and milestones) is updated on an ongoing basis, providing authorizing officials and information system owners with an up-to-date status of the security state of organizational information systems and environments of operation. To reduce the administrative cost of security reauthorization, authorizing officials use the results of continuous monitoring processes to the maximum extent possible as the basis for rendering reauthorization decisions.
cf CA-2
cf CA-7
cf #pm.9
cf #pm.10
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing security authorization
security authorization package (including security plan
security assessment report
plan of action and milestones
authorization statement)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security authorization responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that facilitate security authorizations and updates
References
OMB Circular A-130
OMB Memorandum 11-33
NIST Special Publication 800-37
NIST Special Publication 800-137
CA-7 CONTINUOUS MONITORING
Parameter: ca-7_a organization-defined metrics
Value: organization-defined metrics
Parameter: ca-7_b organization-defined frequencies
Value: organization-defined frequencies
Parameter: ca-7_c organization-defined frequencies
Value: organization-defined frequencies
Parameter: ca-7_d organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ca-7_e organization-defined frequency
Value: organization-defined frequency
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization develops a continuous monitoring strategy and implements a continuous monitoring program that includes:
|
Supplemental guidance
Continuous monitoring programs facilitate ongoing awareness of threats, vulnerabilities, and information security to support organizational risk management decisions. The terms continuous and ongoing imply that organizations assess/analyze security controls and information security-related risks at a frequency sufficient to support organizational risk-based decisions. The results of continuous monitoring programs generate appropriate risk response actions by organizations. Continuous monitoring programs also allow organizations to maintain the security authorizations of information systems and common controls over time in highly dynamic environments of operation with changing mission/business needs, threats, vulnerabilities, and technologies. Having access to security-related information on a continuing basis through reports/dashboards gives organizational officials the capability to make more effective and timely risk management decisions, including ongoing security authorization decisions. Automation supports more frequent updates to security authorization packages, hardware/software/firmware inventories, and other system information. Effectiveness is further enhanced when continuous monitoring outputs are formatted to provide information that is specific, measurable, actionable, relevant, and timely. Continuous monitoring activities are scaled in accordance with the security categories of information systems.
cf CA-2
cf CA-5
cf CA-6
cf CM-3
cf CM-4
cf #pm.6
cf #pm.9
cf RA-5
cf SA-11
cf #sa.12
cf SI-2
cf SI-4
CA-7 (1) INDEPENDENT ASSESSMENT
Parameter: ca-7_f organization-defined level of independence
Value: organization-defined level of independence
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs assessors or assessment teams with ca-7_f organization-defined level of independence organization-defined level of independence to monitor the security controls in the information system on an ongoing basis. |
Supplemental guidance
Organizations can maximize the value of assessments of security controls during the continuous monitoring process by requiring that such assessments be conducted by assessors or assessment teams with appropriate levels of independence based on continuous monitoring strategies. Assessor independence provides a degree of impartiality to the monitoring process. To achieve such impartiality, assessors should not: (i) create a mutual or conflicting interest with the organizations where the assessments are being conducted; (ii) assess their own work; (iii) act as management or employees of the organizations they are serving; or (iv) place themselves in advocacy positions for the organizations acquiring their services.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing continuous monitoring of information system security controls
security plan
security assessment report
plan of action and milestones
information system monitoring records
security impact analyses
status reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with continuous monitoring responsibilities
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing continuous monitoring of information system security controls
procedures addressing configuration management
security plan
security assessment report
plan of action and milestones
information system monitoring records
configuration management records, security impact analyses
status reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with continuous monitoring responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Mechanisms implementing continuous monitoring
References
OMB Memorandum 11-33
NIST Special Publication 800-37
NIST Special Publication 800-39
NIST Special Publication 800-53A
NIST Special Publication 800-115
NIST Special Publication 800-137
US-CERT Technical Cyber Security Alerts
DoD Information Assurance Vulnerability Alerts
CA-8 PENETRATION TESTING
Parameter: ca-8_a organization-defined frequency
Value: organization-defined frequency
Parameter: ca-8_b organization-defined information systems or system components
Value: organization-defined information systems or system components
priority: P2
baseline-impact: HIGH
Control
|
The organization conducts penetration testing ca-8_a organization-defined frequency organization-defined frequency on ca-8_b organization-defined information systems or system components organization-defined information systems or system components . |
Supplemental guidance
Penetration testing is a specialized type of assessment conducted on information systems or individual system components to identify vulnerabilities that could be exploited by adversaries. Such testing can be used to either validate vulnerabilities or determine the degree of resistance organizational information systems have to adversaries within a set of specified constraints (e.g., time, resources, and/or skills). Penetration testing attempts to duplicate the actions of adversaries in carrying out hostile cyber attacks against organizations and provides a more in-depth analysis of security-related weaknesses/deficiencies. Organizations can also use the results of vulnerability analyses to support penetration testing activities. Penetration testing can be conducted on the hardware, software, or firmware components of an information system and can exercise both physical and technical security controls. A standard method for penetration testing includes, for example: (i) pretest analysis based on full knowledge of the target system; (ii) pretest identification of potential vulnerabilities based on pretest analysis; and (iii) testing designed to determine exploitability of identified vulnerabilities. All parties agree to the rules of engagement before the commencement of penetration testing scenarios. Organizations correlate the penetration testing rules of engagement with the tools, techniques, and procedures that are anticipated to be employed by adversaries carrying out attacks. Organizational risk assessments guide decisions on the level of independence required for personnel conducting penetration testing.
cf #sa.12
CA-8 (1) INDEPENDENT PENETRATION AGENT OR TEAM
Control
|
The organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components. |
Supplemental guidance
Independent penetration agents or teams are individuals or groups who conduct impartial penetration testing of organizational information systems. Impartiality implies that penetration agents or teams are free from any perceived or actual conflicts of interest with regard to the development, operation, or management of the information systems that are the targets of the penetration testing. Supplemental guidance for CA-2 (1) provides additional information regarding independent assessments that can be applied to penetration testing.
cf CA-2
Objective
|
Determine if the organization employs an independent penetration agent or penetration team to perform penetration testing on the information system or system components. |
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing penetration testing
security plan
security assessment plan
penetration test report
security assessment report
security assessment evidence
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security assessment and authorization policy
procedures addressing penetration testing
security plan
security assessment plan
penetration test report
security assessment report
security assessment evidence
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security assessment responsibilities
organizational personnel with information security responsibilities, system/network administrators
Assessment: TEST
Automated mechanisms supporting penetration testing
References: None
CA-9 INTERNAL SYSTEM CONNECTIONS
Parameter: ca-9_a organization-defined information system components or classes of components
Value: organization-defined information system components or classes of components
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies to connections between organizational information systems and (separate) constituent system components (i.e., intra-system connections) including, for example, system connections with mobile devices, notebook/desktop computers, printers, copiers, facsimile machines, scanners, sensors, and servers. Instead of authorizing each individual internal connection, organizations can authorize internal connections for a class of components with common characteristics and/or configurations, for example, all digital printers, scanners, and copiers with a specified processing, storage, and transmission capability or all smart phones with a specific baseline configuration.
cf AC-3
cf AC-4
cf AC-18
cf AC-19
cf AU-2
cf AU-12
cf CA-7
cf CM-2
cf IA-3
cf SC-7
cf SI-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Access control policy
procedures addressing information system connections
system and communications protection policy
security plan
information system design documentation
information system configuration settings and associated documentation
list of components or classes of components authorized as internal system connections
security assessment report
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for developing, implementing, or authorizing internal system connections
organizational personnel with information security responsibilities
References: None
CONFIGURATION MANAGEMENT
CM-1 CONFIGURATION MANAGEMENT POLICY AND PROCEDURES
Parameter: cm-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: cm-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: cm-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CM family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
References
NIST Special Publication 800-12
NIST Special Publication 800-100
CM-2 BASELINE CONFIGURATION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization develops, documents, and maintains under configuration control, a current baseline configuration of the information system. |
Supplemental guidance
This control establishes baseline configurations for information systems and system components including communications and connectivity-related aspects of systems. Baseline configurations are documented, formally reviewed and agreed-upon sets of specifications for information systems or configuration items within those systems. Baseline configurations serve as a basis for future builds, releases, and/or changes to information systems. Baseline configurations include information about information system components (e.g., standard software packages installed on workstations, notebook computers, servers, network components, or mobile devices; current version numbers and patch information on operating systems and applications; and configuration settings/parameters), network topology, and the logical placement of those components within the system architecture. Maintaining baseline configurations requires creating new baselines as organizational information systems change over time. Baseline configurations of information systems reflect the current enterprise architecture.
cf CM-3
cf CM-6
cf CM-8
cf CM-9
cf SA-10
cf #pm.5
cf #pm.7
CM-2 (1) REVIEWS AND UPDATES
Parameter: cm-2_a organization-defined frequency
Value: organization-defined frequency
Parameter: cm-2_b Assignment organization-defined circumstances
Value: Assignment organization-defined circumstances
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization reviews and updates the baseline configuration of the information system:
|
Supplemental guidance
cf CM-5
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing the baseline configuration of the information system
procedures addressing information system component installations and upgrades
information system architecture and configuration documentation
information system configuration settings and associated documentation
records of information system baseline configuration reviews and updates
information system component installations/upgrades and associated records
change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
automated mechanisms supporting review and update of the baseline configuration
References: None
CM-2 (2) AUTOMATION SUPPORT FOR ACCURACY / CURRENCY
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms to maintain an up-to-date, complete, accurate, and readily available baseline configuration of the information system. |
Supplemental guidance
Automated mechanisms that help organizations maintain consistent baseline configurations for information systems include, for example, hardware and software inventory tools, configuration management tools, and network management tools. Such tools can be deployed and/or allocated as common controls, at the information system level, or at the operating system or component level (e.g., on workstations, servers, notebook computers, network components, or mobile devices). Tools can be used, for example, to track version numbers on operating system applications, types of software installed, and current patch levels. This control enhancement can be satisfied by the implementation of CM-8 (2) for organizations that choose to combine information system component inventory and baseline configuration activities.
cf CM-7
cf RA-5
Objectives
|
Determine if the organization employs automated mechanisms to maintain:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing the baseline configuration of the information system
configuration management plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
configuration change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
automated mechanisms implementing baseline configuration maintenance
References: None
CM-2 (3) RETENTION OF PREVIOUS CONFIGURATIONS
Parameter: cm-2_c organization-defined previous versions of baseline configurations of the information system
Value: organization-defined previous versions of baseline configurations of the information system
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization retains cm-2_c organization-defined previous versions of baseline configurations of the information system organization-defined previous versions of baseline configurations of the information system to support rollback. |
Supplemental guidance
Retaining previous versions of baseline configurations to support rollback may include, for example, hardware, software, firmware, configuration files, and configuration records.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing the baseline configuration of the information system
configuration management plan
information system architecture and configuration documentation
information system configuration settings and associated documentation
copies of previous baseline configuration versions
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
References: None
CM-2 (7) CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR HIGH-RISK AREAS
Parameter: cm-2_d organization-defined information systems, system components, or devices
Value: organization-defined information systems, system components, or devices
Parameter: cm-2_e organization-defined configurations
Value: organization-defined configurations
Parameter: cm-2_f organization-defined security safeguards
Value: organization-defined security safeguards
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
When it is known that information systems, system components, or devices (e.g., notebook computers, mobile devices) will be located in high-risk areas, additional security controls may be implemented to counter the greater threat in such areas coupled with the lack of physical security relative to organizational-controlled areas. For example, organizational policies and procedures for notebook computers used by individuals departing on and returning from travel include, for example, determining which locations are of concern, defining required configurations for the devices, ensuring that the devices are configured as intended before travel is initiated, and applying specific safeguards to the device after travel is completed. Specially configured notebook computers include, for example, computers with sanitized hard drives, limited applications, and additional hardening (e.g., more stringent configuration settings). Specified safeguards applied to mobile devices upon return from travel include, for example, examining the device for signs of physical tampering and purging/reimaging the hard disk drive. Protecting information residing on mobile devices is covered in the media protection family.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing the baseline configuration of the information system
procedures addressing information system component installations and upgrades
information system architecture and configuration documentation
information system configuration settings and associated documentation
records of information system baseline configuration reviews and updates
information system component installations/upgrades and associated records
change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing the baseline configuration of the information system
configuration management plan
enterprise architecture documentation
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing baseline configurations
automated mechanisms supporting configuration control of the baseline configuration
References
NIST Special Publication 800-128
CM-3 CONFIGURATION CHANGE CONTROL
Parameter: cm-3_a organization-defined time period
Value: organization-defined time period
Parameter: cm-3_b organization-defined configuration change control element (e.g., committee, board)
Value: organization-defined configuration change control element (e.g., committee, board)
Parameter: cm-3_c organization-defined frequency
Value: organization-defined frequency
Parameter: cm-3_d organization-defined configuration change conditions
Value: organization-defined configuration change conditions
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Configuration change controls for organizational information systems involve the systematic proposal, justification, implementation, testing, review, and disposition of changes to the systems, including system upgrades and modifications. Configuration change control includes changes to baseline configurations for components and configuration items of information systems, changes to configuration settings for information technology products (e.g., operating systems, applications, firewalls, routers, and mobile devices), unscheduled/unauthorized changes, and changes to remediate vulnerabilities. Typical processes for managing configuration changes to information systems include, for example, Configuration Control Boards that approve proposed changes to systems. For new development information systems or systems undergoing major upgrades, organizations consider including representatives from development organizations on the Configuration Control Boards. Auditing of changes includes activities before and after changes are made to organizational information systems and the auditing activities required to implement such changes.
cf CA-7
cf CM-2
cf CM-4
cf CM-5
cf CM-6
cf CM-9
cf SA-10
cf SI-2
cf SI-12
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system configuration change control
configuration management plan
information system architecture and configuration documentation
security plan
change control records
information system audit records
change control audit and review reports
agenda /minutes from configuration change control oversight meetings
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with configuration change control responsibilities
organizational personnel with information security responsibilities
system/network administrators
members of change control board or similar
Assessment: TEST
Organizational processes for configuration change control
automated mechanisms that implement configuration change control
References
NIST Special Publication 800-128
CM-4 SECURITY IMPACT ANALYSIS
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization analyzes changes to the information system to determine potential security impacts prior to change implementation. |
Supplemental guidance
Organizational personnel with information security responsibilities (e.g., Information System Administrators, Information System Security Officers, Information System Security Managers, and Information System Security Engineers) conduct security impact analyses. Individuals conducting security impact analyses possess the necessary skills/technical expertise to analyze the changes to information systems and the associated security ramifications. Security impact analysis may include, for example, reviewing security plans to understand security control requirements and reviewing system design documentation to understand control implementation and how specific changes might affect the controls. Security impact analyses may also include assessments of risk to better understand the impact of the changes and to determine if additional security controls are required. Security impact analyses are scaled in accordance with the security categories of the information systems.
cf CA-2
cf CA-7
cf CM-3
cf CM-9
cf SA-4
cf SA-5
cf SA-10
cf SI-2
Objective
|
Determine if the organization analyzes changes to the information system to determine potential security impacts prior to change implementation. |
Assessment: EXAMINE
Configuration management policy
procedures addressing security impact analysis for changes to the information system
configuration management plan
security impact analysis documentation
analysis tools and associated outputs
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for conducting security impact analysis
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for security impact analysis
References
NIST Special Publication 800-128
CM-5 ACCESS RESTRICTIONS FOR CHANGE
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization defines, documents, approves, and enforces physical and logical access restrictions associated with changes to the information system. |
Supplemental guidance
Any changes to the hardware, software, and/or firmware components of information systems can potentially have significant effects on the overall security of the systems. Therefore, organizations permit only qualified and authorized individuals to access information systems for purposes of initiating changes, including upgrades and modifications. Organizations maintain records of access to ensure that configuration change control is implemented and to support after-the-fact actions should organizations discover any unauthorized changes. Access restrictions for change also include software libraries. Access restrictions include, for example, physical and logical access controls (see AC-3 and PE-3), workflow automation, media libraries, abstract layers (e.g., changes implemented into third-party interfaces rather than directly into information systems), and change windows (e.g., changes occur only during specified times, making unauthorized changes easy to discover).
cf AC-3
cf AC-6
cf PE-3
CM-5 (1) AUTOMATED ACCESS ENFORCEMENT / AUDITING
baseline-impact: HIGH
Control
|
The information system enforces access restrictions and supports auditing of the enforcement actions. |
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms implementing enforcement of access restrictions for changes to the information system
automated mechanisms supporting auditing of enforcement actions
References: None
CM-5 (3) SIGNED COMPONENTS
Parameter: cm-5_c organization-defined software and firmware components
Value: organization-defined software and firmware components
baseline-impact: HIGH
Control
|
The information system prevents the installation of cm-5_c organization-defined software and firmware components organization-defined software and firmware components without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization. |
Supplemental guidance
Software and firmware components prevented from installation unless signed with recognized and approved certificates include, for example, software and firmware version updates, patches, service packs, device drivers, and basic input output system (BIOS) updates. Organizations can identify applicable software and firmware components by type, by specific items, or a combination of both. Digital signatures and organizational verification of such signatures, is a method of code authentication.
cf CM-7
cf SC-13
cf SI-7
Objectives
|
Determine if:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
security plan
list of software and firmware components to be prohibited from installation without a recognized and approved certificate
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms preventing installation of software and firmware components not signed with an organization-recognized and approved certificate
References: None
CM-5 (5) LIMIT PRODUCTION / OPERATIONAL PRIVILEGES
Parameter: cm-5_e organization-defined frequency
Value: organization-defined frequency
Control
|
The organization:
|
Supplemental guidance
In many organizations, information systems support multiple core missions/business functions. Limiting privileges to change information system components with respect to operational systems is necessary because changes to a particular information system component may have far-reaching effects on mission/business processes supported by the system where the component resides. The complex, many-to-many relationships between systems and mission/business processes are in some cases, unknown to developers.
cf AC-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
security plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
user privilege reviews
user privilege recertifications
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms supporting and/or implementing access restrictions for change
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing access restrictions for changes to the information system
configuration management plan
information system design documentation
information system architecture and configuration documentation
information system configuration settings and associated documentation
logical access approvals
physical access approvals
access credentials
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with logical access control responsibilities
organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing access restrictions to change
automated mechanisms supporting/implementing/enforcing access restrictions associated with changes to the information system
References: None
CM-6 CONFIGURATION SETTINGS
Parameter: cm-6_a organization-defined security configuration checklists
Value: organization-defined security configuration checklists
Parameter: cm-6_b organization-defined information system components
Value: organization-defined information system components
Parameter: cm-6_c organization-defined operational requirements
Value: organization-defined operational requirements
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Configuration settings are the set of parameters that can be changed in hardware, software, or firmware components of the information system that affect the security posture and/or functionality of the system. Information technology products for which security-related configuration settings can be defined include, for example, mainframe computers, servers (e.g., database, electronic mail, authentication, web, proxy, file, domain name), workstations, input/output devices (e.g., scanners, copiers, and printers), network components (e.g., firewalls, routers, gateways, voice and data switches, wireless access points, network appliances, sensors), operating systems, middleware, and applications. Security-related parameters are those parameters impacting the security state of information systems including the parameters required to satisfy other security control requirements. Security-related parameters include, for example: (i) registry settings; (ii) account, file, directory permission settings; and (iii) settings for functions, ports, protocols, services, and remote connections. Organizations establish organization-wide configuration settings and subsequently derive specific settings for information systems. The established settings become part of the systems configuration baseline. Common secure configurations (also referred to as security configuration checklists, lockdown and hardening guides, security reference guides, security technical implementation guides) provide recognized, standardized, and established benchmarks that stipulate secure configuration settings for specific information technology platforms/products and instructions for configuring those information system components to meet operational requirements. Common secure configurations can be developed by a variety of organizations including, for example, information technology product developers, manufacturers, vendors, consortia, academia, industry, federal agencies, and other organizations in the public and private sectors. Common secure configurations include the United States Government Configuration Baseline (USGCB) which affects the implementation of CM-6 and other controls such as AC-19 and CM-7. The Security Content Automation Protocol (SCAP) and the defined standards within the protocol (e.g., Common Configuration Enumeration) provide an effective method to uniquely identify, track, and control configuration settings. OMB establishes federal policy on configuration requirements for federal information systems.
cf AC-19
cf CM-2
cf CM-3
cf CM-7
cf SI-4
CM-6 (1) AUTOMATED CENTRAL MANAGEMENT / APPLICATION / VERIFICATION
Parameter: cm-6_d organization-defined information system components
Value: organization-defined information system components
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms to centrally manage, apply, and verify configuration settings for cm-6_d organization-defined information system components organization-defined information system components . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing configuration settings for the information system
configuration management plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for managing configuration settings
automated mechanisms implemented to centrally manage, apply, and verify information system configuration settings
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing configuration settings for the information system
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
evidence supporting approved deviations from established configuration settings
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing configuration settings
automated mechanisms that implement, monitor, and/or control information system configuration settings
automated mechanisms that identify and/or document deviations from established configuration settings
References
OMB Memorandum 07-11
OMB Memorandum 07-18
OMB Memorandum 08-22
NIST Special Publication 800-70
NIST Special Publication 800-128
http://nvd.nist.gov
http://checklists.nist.gov
http://www.nsa.gov
CM-7 LEAST FUNCTIONALITY
Parameter: cm-7_a organization-defined prohibited or restricted functions, ports, protocols, and/or services
Value: organization-defined prohibited or restricted functions, ports, protocols, and/or services
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Information systems can provide a wide variety of functions and services. Some of the functions and services, provided by default, may not be necessary to support essential organizational operations (e.g., key missions, functions). Additionally, it is sometimes convenient to provide multiple services from single information system components, but doing so increases risk over limiting the services provided by any one component. Where feasible, organizations limit component functionality to a single function per device (e.g., email servers or web servers, but not both). Organizations review functions and services provided by information systems or individual components of information systems, to determine which functions and services are candidates for elimination (e.g., Voice Over Internet Protocol, Instant Messaging, auto-execute, and file sharing). Organizations consider disabling unused or unnecessary physical and logical ports/protocols (e.g., Universal Serial Bus, File Transfer Protocol, and Hyper Text Transfer Protocol) on information systems to prevent unauthorized connection of devices, unauthorized transfer of information, or unauthorized tunneling. Organizations can utilize network scanning tools, intrusion detection and prevention systems, and end-point protections such as firewalls and host-based intrusion detection systems to identify and prevent the use of prohibited functions, ports, protocols, and services.
cf AC-6
cf CM-2
cf RA-5
cf SA-5
cf SC-7
CM-7 (1) PERIODIC REVIEW
Parameter: cm-7_b organization-defined frequency
Value: organization-defined frequency
Parameter: cm-7_c organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
Value: organization-defined functions, ports, protocols, and services within the information system deemed to be unnecessary and/or nonsecure
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
The organization can either make a determination of the relative security of the function, port, protocol, and/or service or base the security decision on the assessment of other entities. Bluetooth, FTP, and peer-to-peer networking are examples of less than secure protocols.
cf AC-18
cf CM-7
cf IA-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
documented reviews of functions, ports, protocols, and/or services
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for reviewing functions, ports, protocols, and services on the information system
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for reviewing/disabling nonsecure functions, ports, protocols, and/or services
automated mechanisms implementing review and disabling of nonsecure functions, ports, protocols, and/or services
References: None
CM-7 (2) PREVENT PROGRAM EXECUTION
Parameter: cm-7_d organization-defined policies regarding software program usage and restrictions
Value: organization-defined policies regarding software program usage and restrictions
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system prevents program execution in accordance with [Selection (one or more): cm-7_d organization-defined policies regarding software program usage and restrictions organization-defined policies regarding software program usage and restrictions ; rules authorizing the terms and conditions of software program usage]. |
Objectives
|
Determine if:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
security plan
information system design documentation
specifications for preventing software program execution
information system configuration settings and associated documentation
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes preventing program execution on the information system
organizational processes for software program usage and restrictions
automated mechanisms preventing program execution on the information system
automated mechanisms supporting and/or implementing software program usage and restrictions
References: None
CM-7 (5) AUTHORIZED SOFTWARE / WHITELISTING
Parameter: cm-7_h organization-defined software programs authorized to execute on the information system
Value: organization-defined software programs authorized to execute on the information system
Parameter: cm-7_i organization-defined frequency
Value: organization-defined frequency
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
The process used to identify software programs that are authorized to execute on organizational information systems is commonly referred to as whitelisting. In addition to whitelisting, organizations consider verifying the integrity of white-listed software programs using, for example, cryptographic checksums, digital signatures, or hash functions. Verification of white-listed software can occur either prior to execution or at system startup.
cf CM-2
cf CM-6
cf CM-8
cf #pm.5
cf SA-10
cf #sc.34
cf SI-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing least functionality in the information system
configuration management plan
information system design documentation
information system configuration settings and associated documentation
list of software programs authorized to execute on the information system
security configuration checklists
review and update records associated with list of authorized software programs
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for identifying software authorized to execute on the information system
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational process for identifying, reviewing, and updating programs authorized to execute on the information system
organizational process for implementing whitelisting
automated mechanisms implementing whitelisting
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
configuration management plan
procedures addressing least functionality in the information system
security plan
information system design documentation
information system configuration settings and associated documentation
security configuration checklists
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security configuration management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes prohibiting or restricting functions, ports, protocols, and/or services
automated mechanisms implementing restrictions or prohibition of functions, ports, protocols, and/or services
References
DoD Instruction 8551.01
CM-8 INFORMATION SYSTEM COMPONENT INVENTORY
Parameter: cm-8_a organization-defined information deemed necessary to achieve effective information system component accountability
Value: organization-defined information deemed necessary to achieve effective information system component accountability
Parameter: cm-8_b organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Organizations may choose to implement centralized information system component inventories that include components from all organizational information systems. In such situations, organizations ensure that the resulting inventories include system-specific information required for proper component accountability (e.g., information system association, information system owner). Information deemed necessary for effective accountability of information system components includes, for example, hardware inventory specifications, software license information, software version numbers, component owners, and for networked components or devices, machine names and network addresses. Inventory specifications include, for example, manufacturer, device type, model, serial number, and physical location.
cf CM-2
cf CM-6
cf #pm.5
CM-8 (1) UPDATES DURING INSTALLATIONS / REMOVALS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization updates the inventory of information system components as an integral part of component installations, removals, and information system updates. |
Objectives
|
Determine if the organization updates the inventory of information system components as an integral part of:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system inventory records
inventory reviews and update records
component installation records
component removal records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for updating the information system component inventory
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for updating inventory of information system components
automated mechanisms implementing updating of the information system component inventory
References: None
CM-8 (3) AUTOMATED UNAUTHORIZED COMPONENT DETECTION
Parameter: cm-8_c organization-defined frequency
Value: organization-defined frequency
Parameter: cm-8_d organization-defined personnel or roles
Value: organization-defined personnel or roles
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control enhancement is applied in addition to the monitoring for unauthorized remote connections and mobile devices. Monitoring for unauthorized system components may be accomplished on an ongoing basis or by the periodic scanning of systems for that purpose. Automated mechanisms can be implemented within information systems or in other separate devices. Isolation can be achieved, for example, by placing unauthorized information system components in separate domains or subnets or otherwise quarantining such components. This type of component isolation is commonly referred to as sandboxing.
cf AC-17
cf AC-18
cf AC-19
cf CA-7
cf SI-3
cf SI-4
cf SI-7
cf RA-5
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
information system inventory records
alerts/notifications of unauthorized components within the information system
information system monitoring records
change control records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for managing the automated mechanisms implementing unauthorized information system component detection
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Organizational processes for detection of unauthorized information system components
automated mechanisms implementing the detection of unauthorized information system components
References: None
CM-8 (5) NO DUPLICATE ACCOUNTING OF COMPONENTS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system component inventories. |
Supplemental guidance
This control enhancement addresses the potential problem of duplicate accounting of information system components in large or complex interconnected systems.
Objective
|
Determine if the organization verifies that all components within the authorization boundary of the information system are not duplicated in other information system inventories. |
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system inventory records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system inventory responsibilities
organizational personnel with responsibilities for defining information system components within the authorization boundary of the system
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for maintaining the inventory of information system components
automated mechanisms implementing the information system component inventory
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing information system component inventory
configuration management plan
security plan
information system inventory records
inventory reviews and update records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system component inventory
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for developing and documenting an inventory of information system components
automated mechanisms supporting and/or implementing the information system component inventory
References
NIST Special Publication 800-128
CM-9 CONFIGURATION MANAGEMENT PLAN
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization develops, documents, and implements a configuration management plan for the information system that:
|
Supplemental guidance
Configuration management plans satisfy the requirements in configuration management policies while being tailored to individual information systems. Such plans define detailed processes and procedures for how configuration management is used to support system development life cycle activities at the information system level. Configuration management plans are typically developed during the development/acquisition phase of the system development life cycle. The plans describe how to move changes through change management processes, how to update configuration settings and baselines, how to maintain information system component inventories, how to control development, test, and operational environments, and how to develop, release, and update key documents. Organizations can employ templates to help ensure consistent and timely development and implementation of configuration management plans. Such templates can represent a master configuration management plan for the organization at large with subsets of the plan implemented on a system by system basis. Configuration management approval processes include designation of key management stakeholders responsible for reviewing and approving proposed changes to information systems, and personnel that conduct security impact analyses prior to the implementation of changes to the systems. Configuration items are the information system items (hardware, software, firmware, and documentation) to be configuration-managed. As information systems continue through the system development life cycle, new configuration items may be identified and some existing configuration items may no longer need to be under configuration control.
cf CM-2
cf CM-3
cf CM-4
cf CM-5
cf CM-8
cf SA-10
Objectives
|
Determine if the organization develops, documents, and implements a configuration management plan for the information system that:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing configuration management planning
configuration management plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for developing the configuration management plan
organizational personnel with responsibilities for implementing and managing processes defined in the configuration management plan
organizational personnel with responsibilities for protecting the configuration management plan
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for developing and documenting the configuration management plan
organizational processes for identifying and managing configuration items
organizational processes for protecting the configuration management plan
automated mechanisms implementing the configuration management plan
automated mechanisms for managing configuration items
automated mechanisms for protecting the configuration management plan
References
NIST Special Publication 800-128
CM-10 SOFTWARE USAGE RESTRICTIONS
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Software license tracking can be accomplished by manual methods (e.g., simple spreadsheets) or automated methods (e.g., specialized tracking applications) depending on organizational needs.
cf AC-17
cf CM-8
cf SC-7
CM-10 (1) OPEN SOURCE SOFTWARE
Parameter: cm-10_a organization-defined restrictions
Value: organization-defined restrictions
Control
|
The organization establishes the following restrictions on the use of open source software: cm-10_a organization-defined restrictions organization-defined restrictions . |
Supplemental guidance
Open source software refers to software that is available in source code form. Certain software rights normally reserved for copyright holders are routinely provided under software license agreements that permit individuals to study, change, and improve the software. From a security perspective, the major advantage of open source software is that it provides organizations with the ability to examine the source code. However, there are also various licensing issues associated with open source software including, for example, the constraints on derivative use of such software.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing restrictions on use of open source software
configuration management plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for establishing and enforcing restrictions on use of open source software
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational process for restricting the use of open source software
automated mechanisms implementing restrictions on the use of open source software
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing software usage restrictions
configuration management plan
security plan
software contract agreements and copyright laws
site license documentation
list of software usage restrictions
software license tracking reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
organizational personnel operating, using, and/or maintaining the information system
organizational personnel with software license management responsibilities
Assessment: TEST
Organizational process for tracking the use of software protected by quantity licenses
organization process for controlling/documenting the use of peer-to-peer file sharing technology
automated mechanisms implementing software license tracking
automated mechanisms implementing and controlling the use of peer-to-peer files sharing technology
References: None
CM-11 USER-INSTALLED SOFTWARE
Parameter: cm-11_a organization-defined policies
Value: organization-defined policies
Parameter: cm-11_b organization-defined methods
Value: organization-defined methods
Parameter: cm-11_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
If provided the necessary privileges, users have the ability to install software in organizational information systems. To maintain control over the types of software installed, organizations identify permitted and prohibited actions regarding software installation. Permitted software installations may include, for example, updates and security patches to existing software and downloading applications from organization-approved �app stores.� Prohibited software installations may include, for example, software with unknown or suspect pedigrees or software that organizations consider potentially malicious. The policies organizations select governing user-installed software may be organization-developed or provided by some external entity. Policy enforcement methods include procedural methods (e.g., periodic examination of user accounts), automated methods (e.g., configuration settings implemented on organizational information systems), or both.
cf AC-3
cf CM-2
cf CM-3
cf CM-5
cf CM-6
cf CM-7
cf PL-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Configuration management policy
procedures addressing user installed software
configuration management plan
security plan
information system design documentation
information system configuration settings and associated documentation
list of rules governing user installed software
information system monitoring records
information system audit records
other relevant documents or records
continuous monitoring strategy
Assessment: INTERVIEW
Organizational personnel with responsibilities for governing user-installed software
organizational personnel operating, using, and/or maintaining the information system
organizational personnel monitoring compliance with user-installed software policy
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes governing user-installed software on the information system
automated mechanisms enforcing rules/methods for governing the installation of software by users
automated mechanisms monitoring policy compliance
References: None
CONTINGENCY PLANNING
CP-1 CONTINGENCY PLANNING POLICY AND PROCEDURES
Parameter: cp-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: cp-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: cp-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the CP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if:
|
Assessment: EXAMINE
Contingency planning policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning responsibilities
organizational personnel with information security responsibilities
References
Federal Continuity Directive 1
NIST Special Publication 800-12
NIST Special Publication 800-34
NIST Special Publication 800-100
CP-2 CONTINGENCY PLAN
Parameter: cp-2_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: cp-2_b organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
Value: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
Parameter: cp-2_c organization-defined frequency
Value: organization-defined frequency
Parameter: cp-2_d organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
Value: organization-defined key contingency personnel (identified by name and/or by role) and organizational elements
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Contingency planning for information systems is part of an overall organizational program for achieving continuity of operations for mission/business functions. Contingency planning addresses both information system restoration and implementation of alternative mission/business processes when systems are compromised. The effectiveness of contingency planning is maximized by considering such planning throughout the phases of the system development life cycle. Performing contingency planning on hardware, software, and firmware development can be an effective means of achieving information system resiliency. Contingency plans reflect the degree of restoration required for organizational information systems since not all systems may need to fully recover to achieve the level of continuity of operations desired. Information system recovery objectives reflect applicable laws, Executive Orders, directives, policies, standards, regulations, and guidelines. In addition to information system availability, contingency plans also address other security-related events resulting in a reduction in mission and/or business effectiveness, such as malicious attacks compromising the confidentiality or integrity of information systems. Actions addressed in contingency plans include, for example, orderly/graceful degradation, information system shutdown, fallback to a manual mode, alternate information flows, and operating in modes reserved for when systems are under attack. By closely coordinating contingency planning with incident handling activities, organizations can ensure that the necessary contingency planning activities are in place and activated in the event of a security incident.
cf AC-14
cf CP-6
cf CP-7
cf CP-8
cf CP-9
cf CP-10
cf IR-4
cf IR-8
cf MP-2
cf MP-4
cf MP-5
cf #pm.8
cf #pm.11
CP-2 (1) COORDINATE WITH RELATED PLANS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization coordinates contingency plan development with organizational elements responsible for related plans. |
Supplemental guidance
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, Insider Threat Implementation Plan, and Occupant Emergency Plans.
Objective
|
Determine if the organization coordinates contingency plan development with organizational elements responsible for related plans. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
business contingency plans
disaster recovery plans
continuity of operations plans
crisis communications plans
critical infrastructure plans
cyber incident response plan
insider threat implementation plans
occupant emergency plans
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
personnel with responsibility for related plans
References: None
CP-2 (2) CAPACITY PLANNING
baseline-impact: HIGH
Control
|
The organization conducts capacity planning so that necessary capacity for information processing, telecommunications, and environmental support exists during contingency operations. |
Supplemental guidance
Capacity planning is needed because different types of threats (e.g., natural disasters, targeted cyber attacks) can result in a reduction of the available processing, telecommunications, and support services originally intended to support the organizational missions/business functions. Organizations may need to anticipate degraded operations during contingency operations and factor such degradation into capacity planning.
Objectives
|
Determine if the organization conducts capacity planning so that necessary capacity exists during contingency operations for:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
capacity planning documents
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
References: None
CP-2 (3) RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS
Parameter: cp-2_e organization-defined time period
Value: organization-defined time period
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization plans for the resumption of essential missions and business functions within cp-2_e organization-defined time period organization-defined time period of contingency plan activation. |
Supplemental guidance
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. The time period for resumption of essential missions/business functions may be dependent on the severity/extent of disruptions to the information system and its supporting infrastructure.
cf PE-12
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
security plan
business impact assessment
other related plans
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for resumption of missions and business functions
References: None
CP-2 (8) IDENTIFY CRITICAL ASSETS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization identifies critical information system assets supporting essential missions and business functions. |
Supplemental guidance
Organizations may choose to carry out the contingency planning activities in this control enhancement as part of organizational business continuity planning including, for example, as part of business impact analyses. Organizations identify critical information system assets so that additional safeguards and countermeasures can be employed (above and beyond those safeguards and countermeasures routinely implemented) to help ensure that organizational missions/business functions can continue to be conducted during contingency operations. In addition, the identification of critical information assets facilitates the prioritization of organizational resources. Critical information system assets include technical and operational aspects. Technical aspects include, for example, information technology services, information system components, information technology products, and mechanisms. Operational aspects include, for example, procedures (manually executed operations) and personnel (individuals operating technical safeguards and/or executing manual procedures). Organizational program protection plans can provide assistance in identifying critical assets.
cf #sa.14
cf #sa.15
Objective
|
Determine if the organization identifies critical information system assets supporting essential missions and business functions. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
business impact assessment
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency operations for the information system
contingency plan
security plan
evidence of contingency plan reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan development, review, update, and protection
automated mechanisms for developing, reviewing, updating and/or protecting the contingency plan
References
Federal Continuity Directive 1
NIST Special Publication 800-34
CP-3 CONTINGENCY TRAINING
Parameter: cp-3_a organization-defined time period
Value: organization-defined time period
Parameter: cp-3_b organization-defined frequency
Value: organization-defined frequency
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization provides contingency training to information system users consistent with assigned roles and responsibilities:
|
Supplemental guidance
Contingency training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure that the appropriate content and level of detail is included in such training. For example, regular users may only need to know when and where to report for duty during contingency operations and if normal duties are affected; system administrators may require additional training on how to set up information systems at alternate processing and storage sites; and managers/senior leaders may receive more specific training on how to conduct mission-essential functions in designated off-site locations and how to establish communications with other governmental entities for purposes of coordination on contingency-related activities. Training for contingency roles/responsibilities reflects the specific continuity requirements in the contingency plan.
cf AT-2
cf AT-3
cf CP-2
cf IR-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency training
contingency plan
contingency training curriculum
contingency training material
security plan
contingency training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, plan implementation, and training responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency training
References
Federal Continuity Directive 1
NIST Special Publication 800-16
NIST Special Publication 800-50
CP-4 CONTINGENCY PLAN TESTING
Parameter: cp-4_a organization-defined frequency
Value: organization-defined frequency
Parameter: cp-4_b organization-defined tests
Value: organization-defined tests
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Methods for testing contingency plans to determine the effectiveness of the plans and to identify potential weaknesses in the plans include, for example, walk-through and tabletop exercises, checklists, simulations (parallel, full interrupt), and comprehensive exercises. Organizations conduct testing based on the continuity requirements in contingency plans and include a determination of the effects on organizational operations, assets, and individuals arising due to contingency operations. Organizations have flexibility and discretion in the breadth, depth, and timelines of corrective actions.
cf CP-2
cf CP-3
cf IR-3
CP-4 (1) COORDINATE WITH RELATED PLANS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization coordinates contingency plan testing with organizational elements responsible for related plans. |
Supplemental guidance
Plans related to contingency plans for organizational information systems include, for example, Business Continuity Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, Cyber Incident Response Plans, and Occupant Emergency Plans. This control enhancement does not require organizations to create organizational elements to handle related plans or to align such elements with specific plans. It does require, however, that if such organizational elements are responsible for related plans, organizations should coordinate with those elements.
cf IR-8
cf #pm.8
Objective
|
Determine if the organization coordinates contingency plan testing with organizational elements responsible for related plans. |
Assessment: EXAMINE
Contingency planning policy
incident response policy
procedures addressing contingency plan testing
contingency plan testing documentation
contingency plan
business continuity plans
disaster recovery plans
continuity of operations plans
crisis communications plans
critical infrastructure plans
cyber incident response plans
occupant emergency plans
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan testing responsibilities
organizational personnel
personnel with responsibilities for related plans
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing contingency plan testing
contingency plan
security plan
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for contingency plan testing, reviewing or responding to contingency plan tests
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for contingency plan testing
automated mechanisms supporting the contingency plan and/or contingency plan testing
References
Federal Continuity Directive 1
FIPS Publication 199
NIST Special Publication 800-34
NIST Special Publication 800-84
CP-6 ALTERNATE STORAGE SITE
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Alternate storage sites are sites that are geographically distinct from primary storage sites. An alternate storage site maintains duplicate copies of information and data in the event that the primary storage site is not available. Items covered by alternate storage site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination of delivery/retrieval of backup media. Alternate storage sites reflect the requirements in contingency plans so that organizations can maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
cf CP-2
cf CP-7
cf CP-9
cf CP-10
cf MP-4
CP-6 (1) SEPARATION FROM PRIMARY SITE
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. |
Supplemental guidance
Threats that affect alternate storage sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate storage sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
cf RA-3
Objective
|
Determine if the organization identifies an alternate storage site that is separated from the primary storage site to reduce susceptibility to the same threats. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate storage sites
contingency plan
alternate storage site
alternate storage site agreements
primary storage site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate storage site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
References: None
CP-6 (3) ACCESSIBILITY
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization identifies potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. |
Supplemental guidance
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk. Explicit mitigation actions include, for example: (i) duplicating backup information at other alternate storage sites if access problems occur at originally designated alternate sites; or (ii) planning for physical access to retrieve backup information if electronic accessibility to the alternate site is disrupted.
cf RA-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate storage sites
contingency plan
alternate storage site
list of potential accessibility problems to alternate storage site
mitigation actions for accessibility problems to alternate storage site
organizational risk assessments
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate storage site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate storage sites
contingency plan
alternate storage site agreements
primary storage site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate storage site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for storing and retrieving information system backup information at the alternate storage site
automated mechanisms supporting and/or implementing storage and retrieval of information system backup information at the alternate storage site
References
NIST Special Publication 800-34
CP-7 ALTERNATE PROCESSING SITE
Parameter: cp-7_a organization-defined information system operations
Value: organization-defined information system operations
Parameter: cp-7_b organization-defined time period consistent with recovery time and recovery point objectives
Value: organization-defined time period consistent with recovery time and recovery point objectives
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Alternate processing sites are sites that are geographically distinct from primary processing sites. An alternate processing site provides processing capability in the event that the primary processing site is not available. Items covered by alternate processing site agreements include, for example, environmental conditions at alternate sites, access rules, physical and environmental protection requirements, and coordination for the transfer/assignment of personnel. Requirements are specifically allocated to alternate processing sites that reflect the requirements in contingency plans to maintain essential missions/business functions despite disruption, compromise, or failure in organizational information systems.
cf CP-2
cf CP-6
cf CP-8
cf CP-9
cf CP-10
cf MA-6
CP-7 (1) SEPARATION FROM PRIMARY SITE
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization identifies an alternate processing site that is separated from the primary processing site to reduce susceptibility to the same threats. |
Supplemental guidance
Threats that affect alternate processing sites are typically defined in organizational assessments of risk and include, for example, natural disasters, structural failures, hostile cyber attacks, and errors of omission/commission. Organizations determine what is considered a sufficient degree of separation between primary and alternate processing sites based on the types of threats that are of concern. For one particular type of threat (i.e., hostile cyber attack), the degree of separation between sites is less relevant.
cf RA-3
Objective
|
Determine if the organization identifies an alternate processing site that is separated from the primary storage site to reduce susceptibility to the same threats. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site
alternate processing site agreements
primary processing site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate processing site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
References: None
CP-7 (2) ACCESSIBILITY
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization identifies potential accessibility problems to the alternate processing site in the event of an area-wide disruption or disaster and outlines explicit mitigation actions. |
Supplemental guidance
Area-wide disruptions refer to those types of disruptions that are broad in geographic scope (e.g., hurricane, regional power outage) with such determinations made by organizations based on organizational assessments of risk.
cf RA-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site
alternate processing site agreements
primary processing site agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate processing site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
References: None
CP-7 (3) PRIORITY OF SERVICE
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives). |
Supplemental guidance
Priority-of-service agreements refer to negotiated agreements with service providers that ensure that organizations receive priority treatment consistent with their availability requirements and the availability of information resources at the alternate processing site.
Objective
|
Determine if the organization develops alternate processing site agreements that contain priority-of-service provisions in accordance with organizational availability requirements (including recovery time objectives as specified in the information system contingency plan). |
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site agreements
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan alternate processing site responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for acquisitions/contractual agreements
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate processing sites
contingency plan
alternate processing site agreements
primary processing site agreements
spare equipment and supplies inventory at alternate processing site
equipment and supply contracts
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for contingency planning and/or alternate site arrangements
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for recovery at the alternate site
automated mechanisms supporting and/or implementing recovery at the alternate processing site
References
NIST Special Publication 800-34
CP-8 TELECOMMUNICATIONS SERVICES
Parameter: cp-8_a organization-defined information system operations
Value: organization-defined information system operations
Parameter: cp-8_b organization-defined time period
Value: organization-defined time period
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization establishes alternate telecommunications services including necessary agreements to permit the resumption of cp-8_a organization-defined information system operations organization-defined information system operations for essential missions and business functions within cp-8_b organization-defined time period organization-defined time period when the primary telecommunications capabilities are unavailable at either the primary or alternate processing or storage sites. |
Supplemental guidance
This control applies to telecommunications services (data and voice) for primary and alternate processing and storage sites. Alternate telecommunications services reflect the continuity requirements in contingency plans to maintain essential missions/business functions despite the loss of primary telecommunications services. Organizations may specify different time periods for primary/alternate sites. Alternate telecommunications services include, for example, additional organizational or commercial ground-based circuits/lines or satellites in lieu of ground-based communications. Organizations consider factors such as availability, quality of service, and access when entering into alternate telecommunications agreements.
cf CP-2
cf CP-6
cf CP-7
CP-8 (1) PRIORITY OF SERVICE PROVISIONS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Organizations consider the potential mission/business impact in situations where telecommunications service providers are servicing other organizations with similar priority-of-service provisions.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing primary and alternate telecommunications services
contingency plan
primary and alternate telecommunications service agreements
Telecommunications Service Priority documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan telecommunications responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for acquisitions/contractual agreements
Assessment: TEST
Automated mechanisms supporting telecommunications
References: None
CP-8 (2) SINGLE POINTS OF FAILURE
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. |
Objective
|
Determine if the organization obtains alternate telecommunications services to reduce the likelihood of sharing a single point of failure with primary telecommunications services. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing primary and alternate telecommunications services
contingency plan
primary and alternate telecommunications service agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan telecommunications responsibilities
organizational personnel with information system recovery responsibilities
primary and alternate telecommunications service providers
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing alternate telecommunications services
contingency plan
primary and alternate telecommunications service agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency plan telecommunications responsibilities
organizational personnel with information system recovery responsibilities
organizational personnel with information security responsibilities
organizational personnel with responsibility for acquisitions/contractual agreements
Assessment: TEST
Automated mechanisms supporting telecommunications
References
NIST Special Publication 800-34
National Communications Systems Directive 3-10
http://www.dhs.gov/telecommunications-service-priority-tsp
CP-9 INFORMATION SYSTEM BACKUP
Parameter: cp-9_a organization-defined frequency consistent with recovery time and recovery point objectives
Value: organization-defined frequency consistent with recovery time and recovery point objectives
Parameter: cp-9_b organization-defined frequency consistent with recovery time and recovery point objectives
Value: organization-defined frequency consistent with recovery time and recovery point objectives
Parameter: cp-9_c organization-defined frequency consistent with recovery time and recovery point objectives
Value: organization-defined frequency consistent with recovery time and recovery point objectives
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
System-level information includes, for example, system-state information, operating system and application software, and licenses. User-level information includes any information other than system-level information. Mechanisms employed by organizations to protect the integrity of information system backups include, for example, digital signatures and cryptographic hashes. Protection of system backup information while in transit is beyond the scope of this control. Information system backups reflect the requirements in contingency plans as well as other organizational requirements for backing up information.
cf CP-2
cf CP-6
cf MP-4
cf MP-5
cf SC-13
CP-9 (1) TESTING FOR RELIABILITY / INTEGRITY
Parameter: cp-9_d organization-defined frequency
Value: organization-defined frequency
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization tests backup information cp-9_d organization-defined frequency organization-defined frequency to verify media reliability and information integrity. |
Supplemental guidance
cf CP-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system backup test results
contingency plan test documentation
contingency plan test results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for conducting information system backups
automated mechanisms supporting and/or implementing information system backups
References: None
CP-9 (3) SEPARATE STORAGE FOR CRITICAL INFORMATION
Parameter: cp-9_e organization-defined critical information system software and other security-related information
Value: organization-defined critical information system software and other security-related information
baseline-impact: HIGH
Control
|
The organization stores backup copies of cp-9_e organization-defined critical information system software and other security-related information organization-defined critical information system software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the operational system. |
Supplemental guidance
Critical information system software includes, for example, operating systems, cryptographic key management systems, and intrusion detection/prevention systems. Security-related information includes, for example, organizational inventories of hardware, software, and firmware components. Alternate storage sites typically serve as separate storage facilities for organizations.
cf CM-2
cf CM-8
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
backup storage location(s)
information system backup configurations and associated documentation
information system backup logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning and plan implementation responsibilities
organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
backup storage location(s)
information system backup logs or records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system backup responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for conducting information system backups
automated mechanisms supporting and/or implementing information system backups
References
NIST Special Publication 800-34
CP-10 INFORMATION SYSTEM RECOVERY AND RECONSTITUTION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization provides for the recovery and reconstitution of the information system to a known state after a disruption, compromise, or failure. |
Supplemental guidance
Recovery is executing information system contingency plan activities to restore organizational missions/business functions. Reconstitution takes place following recovery and includes activities for returning organizational information systems to fully operational states. Recovery and reconstitution operations reflect mission and business priorities, recovery point/time and reconstitution objectives, and established organizational metrics consistent with contingency plan requirements. Reconstitution includes the deactivation of any interim information system capabilities that may have been needed during recovery operations. Reconstitution also includes assessments of fully restored information system capabilities, reestablishment of continuous monitoring activities, potential information system reauthorizations, and activities to prepare the systems against future disruptions, compromises, or failures. Recovery/reconstitution capabilities employed by organizations can include both automated mechanisms and manual procedures.
cf CA-2
cf CA-6
cf CA-7
cf CP-2
cf CP-6
cf CP-7
cf CP-9
cf #sc.24
CP-10 (2) TRANSACTION RECOVERY
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements transaction recovery for systems that are transaction-based. |
Supplemental guidance
Transaction-based information systems include, for example, database management systems and transaction processing systems. Mechanisms supporting transaction recovery include, for example, transaction rollback and transaction journaling.
Objective
|
Determine if the information system implements transaction recovery for systems that are transaction-based. |
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system recovery and reconstitution
contingency plan
information system design documentation
information system configuration settings and associated documentation
contingency plan test documentation
contingency plan test results
information system transaction recovery records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for transaction recovery
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing transaction recovery capability
References: None
Objectives
|
Determine if the organization provides for:
|
Assessment: EXAMINE
Contingency planning policy
procedures addressing information system backup
contingency plan
information system backup test results
contingency plan test results
contingency plan test documentation
redundant secondary system for information system backups
location(s) of redundant secondary backup system(s)
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with contingency planning, recovery, and/or reconstitution responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes implementing information system recovery and reconstitution operations
automated mechanisms supporting and/or implementing information system recovery and reconstitution operations
References
Federal Continuity Directive 1
NIST Special Publication 800-34
IDENTIFICATION AND AUTHENTICATION
IA-1 IDENTIFICATION AND AUTHENTICATION POLICY AND PROCEDURES
Parameter: ia-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ia-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: ia-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identification and authentication responsibilities
organizational personnel with information security responsibilities
References
FIPS Publication 201
NIST Special Publication 800-12
NIST Special Publication 800-63
NIST Special Publication 800-73
NIST Special Publication 800-76
NIST Special Publication 800-78
NIST Special Publication 800-100
IA-2 IDENTIFICATION AND AUTHENTICATION (ORGANIZATIONAL USERS)
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users). |
Supplemental guidance
Organizational users include employees or individuals that organizations deem to have equivalent status of employees (e.g., contractors, guest researchers). This control applies to all accesses other than: (i) accesses that are explicitly identified and documented in AC-14; and (ii) accesses that occur through authorized use of group authenticators without individual authentication. Organizations may require unique identification of individuals in group accounts (e.g., shared privilege accounts) or for detailed accountability of individual activity. Organizations employ passwords, tokens, or biometrics to authenticate user identities, or in the case multifactor authentication, or some combination thereof. Access to organizational information systems is defined as either local access or network access. Local access is any access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained by direct connections without the use of networks. Network access is access to organizational information systems by users (or processes acting on behalf of users) where such access is obtained through network connections (i.e., nonlocal accesses). Remote access is a type of network access that involves communication through external networks (e.g., the Internet). Internal networks include local area networks and wide area networks. In addition, the use of encrypted virtual private networks (VPNs) for network connections between organization-controlled endpoints and non-organization controlled endpoints may be treated as internal networks from the perspective of protecting the confidentiality and integrity of information traversing the network. Organizations can satisfy the identification and authentication requirements in this control by complying with the requirements in Homeland Security Presidential Directive 12 consistent with the specific organizational implementation plans. Multifactor authentication requires the use of two or more different factors to achieve authentication. The factors are defined as: (i) something you know (e.g., password, personal identification number [PIN]); (ii) something you have (e.g., cryptographic identification device, token); or (iii) something you are (e.g., biometric). Multifactor solutions that require devices separate from information systems gaining access include, for example, hardware tokens providing time-based or challenge-response authenticators and smart cards such as the U.S. Government Personal Identity Verification card and the DoD common access card. In addition to identifying and authenticating users at the information system level (i.e., at logon), organizations also employ identification and authentication mechanisms at the application level, when necessary, to provide increased information security. Identification and authentication requirements for other than organizational users are described in IA-8.
cf AC-2
cf AC-3
cf AC-14
cf AC-17
cf AC-18
cf IA-4
cf IA-5
cf IA-8
IA-2 (1) NETWORK ACCESS TO PRIVILEGED ACCOUNTS
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements multifactor authentication for network access to privileged accounts. |
Supplemental guidance
cf AC-6
Objective
|
Determine if the information system implements multifactor authentication for network access to privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
References: None
IA-2 (2) NETWORK ACCESS TO NON-PRIVILEGED ACCOUNTS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements multifactor authentication for network access to non-privileged accounts. |
Objective
|
Determine if the information system implements multifactor authentication for network access to non-privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
References: None
IA-2 (3) LOCAL ACCESS TO PRIVILEGED ACCOUNTS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements multifactor authentication for local access to privileged accounts. |
Supplemental guidance
cf AC-6
Objective
|
Determine if the information system implements multifactor authentication for local access to privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing multifactor authentication capability
References: None
IA-2 (5) GROUP AUTHENTICATION
Control
|
The organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed. |
Supplemental guidance
Requiring individuals to use individual authenticators as a second level of authentication helps organizations to mitigate the risk of using group authenticators.
Objective
|
Determine if the organization requires individuals to be authenticated with an individual authenticator when a group authenticator is employed. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing authentication capability for group accounts
References: None
IA-2 (8) NETWORK ACCESS TO PRIVILEGED ACCOUNTS - REPLAY RESISTANT
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements replay-resistant authentication mechanisms for network access to privileged accounts. |
Supplemental guidance
Authentication processes resist replay attacks if it is impractical to achieve successful authentications by replaying previous authentication messages. Replay-resistant techniques include, for example, protocols that use nonces or challenges such as Transport Layer Security (TLS) and time synchronous or challenge-response one-time authenticators.
Objective
|
Determine if the information system implements replay-resistant authentication mechanisms for network access to privileged accounts. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of privileged information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms supporting and/or implementing replay resistant authentication mechanisms
References: None
IA-2 (11) REMOTE ACCESS - SEPARATE DEVICE
Parameter: ia-2_d organization-defined strength of mechanism requirements
Value: organization-defined strength of mechanism requirements
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements multifactor authentication for remote access to privileged and non-privileged accounts such that one of the factors is provided by a device separate from the system gaining access and the device meets ia-2_d organization-defined strength of mechanism requirements organization-defined strength of mechanism requirements . |
Supplemental guidance
For remote access to privileged/non-privileged accounts, the purpose of requiring a device that is separate from the information system gaining access for one of the factors during multifactor authentication is to reduce the likelihood of compromising authentication credentials stored on the system. For example, adversaries deploying malicious code on organizational information systems can potentially compromise such credentials resident on the system and subsequently impersonate authorized users.
cf AC-6
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of privileged and non-privileged information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
References: None
IA-2 (12) ACCEPTANCE OF PIV CREDENTIALS
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials. |
Supplemental guidance
This control enhancement applies to organizations implementing logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
cf AU-2
cf PE-3
cf SA-4
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
PIV verification records
evidence of PIV credentials
PIV credential authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing acceptance and verification of PIV credentials
References: None
Objective
|
Determine if the information system uniquely identifies and authenticates organizational users (or processes acting on behalf of organizational users). |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with account management responsibilities
system developers
Assessment: TEST
Organizational processes for uniquely identifying and authenticating users
automated mechanisms supporting and/or implementing identification and authentication capability
References
HSPD-12
OMB Memorandum 04-04
OMB Memorandum 06-16
OMB Memorandum 11-11
FIPS Publication 201
NIST Special Publication 800-63
NIST Special Publication 800-73
NIST Special Publication 800-76
NIST Special Publication 800-78
FICAM Roadmap and Implementation Guidance
http://idmanagement.gov
IA-3 DEVICE IDENTIFICATION AND AUTHENTICATION
Parameter: ia-3_a organization-defined specific and/or types of devices
Value: organization-defined specific and/or types of devices
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system uniquely identifies and authenticates ia-3_a organization-defined specific and/or types of devices organization-defined specific and/or types of devices before establishing a [Selection (one or more): local; remote; network] connection. |
Supplemental guidance
Organizational devices requiring unique device-to-device identification and authentication may be defined by type, by device, or by a combination of type/device. Information systems typically use either shared known information (e.g., Media Access Control [MAC] or Transmission Control Protocol/Internet Protocol [TCP/IP] addresses) for device identification or organizational authentication solutions (e.g., IEEE 802.1x and Extensible Authentication Protocol [EAP], Radius server with EAP-Transport Layer Security [TLS] authentication, Kerberos) to identify/authenticate devices on local and/or wide area networks. Organizations determine the required strength of authentication mechanisms by the security categories of information systems. Because of the challenges of applying this control on large scale, organizations are encouraged to only apply the control to those limited number (and type) of devices that truly need to support this capability.
cf AC-17
cf AC-18
cf AC-19
cf CA-3
cf IA-4
cf IA-5
Objectives
|
Determine if:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing device identification and authentication
information system design documentation
list of devices requiring unique identification and authentication
device connection reports
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with operational responsibilities for device identification and authentication
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing device identification and authentication capability
References: None
IA-4 IDENTIFIER MANAGEMENT
Parameter: ia-4_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ia-4_b organization-defined time period
Value: organization-defined time period
Parameter: ia-4_c organization-defined time period of inactivity
Value: organization-defined time period of inactivity
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization manages information system identifiers by:
|
Supplemental guidance
Common device identifiers include, for example, media access control (MAC), Internet protocol (IP) addresses, or device-unique token identifiers. Management of individual identifiers is not applicable to shared information system accounts (e.g., guest and anonymous accounts). Typically, individual identifiers are the user names of the information system accounts assigned to those individuals. In such instances, the account management activities of AC-2 use account names provided by IA-4. This control also addresses individual identifiers not necessarily associated with information system accounts (e.g., identifiers used in physical security control databases accessed by badge reader systems for access to information systems). Preventing reuse of identifiers implies preventing the assignment of previously used individual, group, role, or device identifiers to different individuals, groups, roles, or devices.
cf AC-2
cf IA-2
cf IA-3
cf IA-5
cf IA-8
cf #sc.37
IA-4 (4) IDENTIFY USER STATUS
Parameter: ia-4_d organization-defined characteristic identifying individual status
Value: organization-defined characteristic identifying individual status
Control
|
The organization manages individual identifiers by uniquely identifying each individual as ia-4_d organization-defined characteristic identifying individual status organization-defined characteristic identifying individual status . |
Supplemental guidance
Characteristics identifying the status of individuals include, for example, contractors and foreign nationals. Identifying the status of individuals by specific characteristics provides additional information about the people with whom organizational personnel are communicating. For example, it might be useful for a government employee to know that one of the individuals on an email message is a contractor.
cf AT-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
list of characteristics identifying individual status
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
References: None
Objectives
|
Determine if the organization manages information system identifiers by:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing identifier management
procedures addressing account management
security plan
information system design documentation
information system configuration settings and associated documentation
list of information system accounts
list of identifiers generated from physical access control devices
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with identifier management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing identifier management
References
FIPS Publication 201
NIST Special Publication 800-73
NIST Special Publication 800-76
NIST Special Publication 800-78
IA-5 AUTHENTICATOR MANAGEMENT
Parameter: ia-5_a organization-defined time period by authenticator type
Value: organization-defined time period by authenticator type
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization manages information system authenticators by:
|
Supplemental guidance
Individual authenticators include, for example, passwords, tokens, biometrics, PKI certificates, and key cards. Initial authenticator content is the actual content (e.g., the initial password) as opposed to requirements about authenticator content (e.g., minimum password length). In many cases, developers ship information system components with factory default authentication credentials to allow for initial installation and configuration. Default authentication credentials are often well known, easily discoverable, and present a significant security risk. The requirement to protect individual authenticators may be implemented via control PL-4 or PS-6 for authenticators in the possession of individuals and by controls AC-3, AC-6, and SC-28 for authenticators stored within organizational information systems (e.g., passwords stored in hashed or encrypted formats, files containing encrypted or hashed passwords accessible with administrator privileges). Information systems support individual authenticator management by organization-defined settings and restrictions for various authenticator characteristics including, for example, minimum password length, password composition, validation time window for time synchronous one-time tokens, and number of allowed rejections during the verification stage of biometric authentication. Specific actions that can be taken to safeguard authenticators include, for example, maintaining possession of individual authenticators, not loaning or sharing individual authenticators with others, and reporting lost, stolen, or compromised authenticators immediately. Authenticator management includes issuing and revoking, when no longer needed, authenticators for temporary access such as that required for remote maintenance. Device authenticators include, for example, certificates and passwords.
cf AC-2
cf AC-3
cf AC-6
cf CM-6
cf IA-2
cf IA-4
cf IA-8
cf PL-4
cf PS-5
cf PS-6
cf SC-12
cf SC-13
cf SC-17
cf SC-28
IA-5 (1) PASSWORD-BASED AUTHENTICATION
Parameter: ia-5_b organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
Value: organization-defined requirements for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, numbers, and special characters, including minimum requirements for each type
Parameter: ia-5_c organization-defined number
Value: organization-defined number
Parameter: ia-5_d organization-defined numbers for lifetime minimum, lifetime maximum
Value: organization-defined numbers for lifetime minimum, lifetime maximum
Parameter: ia-5_e organization-defined number
Value: organization-defined number
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system, for password-based authentication:
|
Supplemental guidance
This control enhancement applies to single-factor authentication of individuals using passwords as individual or group authenticators, and in a similar manner, when passwords are part of multifactor authenticators. This control enhancement does not apply when passwords are used to unlock hardware authenticators (e.g., Personal Identity Verification cards). The implementation of such password mechanisms may not meet all of the requirements in the enhancement. Cryptographically-protected passwords include, for example, encrypted versions of passwords and one-way cryptographic hashes of passwords. The number of changed characters refers to the number of changes required with respect to the total number of positions in the current password. Password lifetime restrictions do not apply to temporary passwords. To mitigate certain brute force attacks against passwords, organizations may also consider salting passwords.
cf IA-6
Objectives
|
Determine if, for password-based authentication:
|
Assessment: EXAMINE
Identification and authentication policy
password policy
procedures addressing authenticator management
security plan
information system design documentation
information system configuration settings and associated documentation
password configurations and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing password-based authenticator management capability
References: None
IA-5 (2) PKI-BASED AUTHENTICATION
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system, for PKI-based authentication:
|
Supplemental guidance
Status information for certification paths includes, for example, certificate revocation lists or certificate status protocol responses. For PIV cards, validation of certifications involves the construction and verification of a certification path to the Common Policy Root trust anchor including certificate policy processing.
cf IA-6
Objectives
|
Determine if the information system, for PKI-based authentication:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
information system design documentation
information system configuration settings and associated documentation
PKI certification validation records
PKI certification revocation lists
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with PKI-based, authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing PKI-based, authenticator management capability
References: None
IA-5 (3) IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION
Parameter: ia-5_f organization-defined types of and/or specific authenticators
Value: organization-defined types of and/or specific authenticators
Parameter: ia-5_g organization-defined registration authority
Value: organization-defined registration authority
Parameter: ia-5_h organization-defined personnel or roles
Value: organization-defined personnel or roles
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires that the registration process to receive ia-5_f organization-defined types of and/or specific authenticators organization-defined types of and/or specific authenticators be conducted [Selection: in person; by a trusted third party] before ia-5_g organization-defined registration authority organization-defined registration authority with authorization by ia-5_h organization-defined personnel or roles organization-defined personnel or roles . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
registration process for receiving information system authenticators
list of authenticators requiring in-person registration
list of authenticators requiring trusted third party registration
authenticator registration documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
registration authority
organizational personnel with information security responsibilities
References: None
IA-5 (4) AUTOMATED SUPPORT FOR PASSWORD STRENGTH DETERMINATION
Parameter: ia-5_i organization-defined requirements
Value: organization-defined requirements
Control
|
The organization employs automated tools to determine if password authenticators are sufficiently strong to satisfy ia-5_i organization-defined requirements organization-defined requirements . |
Supplemental guidance
This control enhancement focuses on the creation of strong passwords and the characteristics of such passwords (e.g., complexity) prior to use, the enforcement of which is carried out by organizational information systems in IA-5 (1).
cf CA-2
cf CA-7
cf RA-5
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
information system design documentation
information system configuration settings and associated documentation
automated tools for evaluating password authenticators
password strength assessment results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing password-based authenticator management capability
automated tools for determining password strength
References: None
IA-5 (6) PROTECTION OF AUTHENTICATORS
Control
|
The organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access. |
Supplemental guidance
For information systems containing multiple security categories of information without reliable physical or logical separation between categories, authenticators used to grant access to the systems are protected commensurate with the highest security category of information on the systems.
Objective
|
Determine if the organization protects authenticators commensurate with the security category of the information to which use of the authenticator permits access. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security categorization documentation for the information system
security assessments of authenticator protections
risk assessment results
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel implementing and/or maintaining authenticator protections
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
automated mechanisms protecting authenticators
References: None
IA-5 (7) NO EMBEDDED UNENCRYPTED STATIC AUTHENTICATORS
Control
|
The organization ensures that unencrypted static authenticators are not embedded in applications or access scripts or stored on function keys. |
Supplemental guidance
Organizations exercise caution in determining whether embedded or stored authenticators are in encrypted or unencrypted form. If authenticators are used in the manner stored, then those representations are considered unencrypted authenticators. This is irrespective of whether that representation is perhaps an encrypted version of something else (e.g., a password).
Objectives
|
Determine if the organization ensures that unencrypted static authenticators are not:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
information system design documentation
information system configuration settings and associated documentation
logical access scripts
application code reviews for detecting unencrypted static authenticators
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
automated mechanisms implementing authentication in applications
References: None
IA-5 (11) HARDWARE TOKEN-BASED AUTHENTICATION
Parameter: ia-5_l organization-defined token quality requirements
Value: organization-defined token quality requirements
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system, for hardware token-based authentication, employs mechanisms that satisfy ia-5_l organization-defined token quality requirements organization-defined token quality requirements . |
Supplemental guidance
Hardware token-based authentication typically refers to the use of PKI-based tokens, such as the U.S. Government Personal Identity Verification (PIV) card. Organizations define specific requirements for tokens, such as working with a particular PKI.
Objectives
|
Determine if, for hardware token-based authentication:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
security plan
information system design documentation
automated mechanisms employing hardware token-based authentication for the information system
list of token quality requirements
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing hardware token-based authenticator management capability
References: None
Objectives
|
Determine if the organization manages information system authenticators by:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator management
information system design documentation
information system configuration settings and associated documentation
list of information system authenticator types
change control records associated with managing information system authenticators
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with authenticator management responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Automated mechanisms supporting and/or implementing authenticator management capability
References
OMB Memorandum 04-04
OMB Memorandum 11-11
FIPS Publication 201
NIST Special Publication 800-73
NIST Special Publication 800-63
NIST Special Publication 800-76
NIST Special Publication 800-78
FICAM Roadmap and Implementation Guidance
http://idmanagement.gov
IA-6 AUTHENTICATOR FEEDBACK
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. |
Supplemental guidance
The feedback from information systems does not provide information that would allow unauthorized individuals to compromise authentication mechanisms. For some types of information systems or system components, for example, desktops/notebooks with relatively large monitors, the threat (often referred to as shoulder surfing) may be significant. For other types of systems or components, for example, mobile devices with 2-4 inch screens, this threat may be less significant, and may need to be balanced against the increased likelihood of typographic input errors due to the small keyboards. Therefore, the means for obscuring the authenticator feedback is selected accordingly. Obscuring the feedback of authentication information includes, for example, displaying asterisks when users type passwords into input devices, or displaying feedback for a very limited time before fully obscuring it.
cf #pe.18
Objective
|
Determine if the information system obscures feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing authenticator feedback
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing the obscuring of feedback of authentication information during authentication
References: None
IA-7 CRYPTOGRAPHIC MODULE AUTHENTICATION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication. |
Supplemental guidance
Authentication mechanisms may be required within a cryptographic module to authenticate an operator accessing the module and to verify that the operator is authorized to assume the requested role and perform services within that role.
cf SC-12
cf SC-13
Objective
|
Determine if the information system implements mechanisms for authentication to a cryptographic module that meet the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance for such authentication. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing cryptographic module authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for cryptographic module authentication
organizational personnel with information security responsibilities
system/network administrators
system developers
Assessment: TEST
Automated mechanisms supporting and/or implementing cryptographic module authentication
References
FIPS Publication 140
http://csrc.nist.gov/groups/STM/cmvp/index.html
IA-8 IDENTIFICATION AND AUTHENTICATION (NON-ORGANIZATIONAL USERS)
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users). |
Supplemental guidance
Non-organizational users include information system users other than organizational users explicitly covered by IA-2. These individuals are uniquely identified and authenticated for accesses other than those accesses explicitly identified and documented in AC-14. In accordance with the E-Authentication E-Government initiative, authentication of non-organizational users accessing federal information systems may be required to protect federal, proprietary, or privacy-related information (with exceptions noted for national security systems). Organizations use risk assessments to determine authentication needs and consider scalability, practicality, and security in balancing the need to ensure ease of use for access to federal information and information systems with the need to protect and adequately mitigate risk. IA-2 addresses identification and authentication requirements for access to information systems by organizational users.
cf AC-2
cf AC-14
cf AC-17
cf AC-18
cf IA-2
cf IA-4
cf IA-5
cf MA-4
cf RA-3
cf #sa.12
cf SC-8
IA-8 (1) ACCEPTANCE OF PIV CREDENTIALS FROM OTHER AGENCIES
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials from other federal agencies. |
Supplemental guidance
This control enhancement applies to logical access control systems (LACS) and physical access control systems (PACS). Personal Identity Verification (PIV) credentials are those credentials issued by federal agencies that conform to FIPS Publication 201 and supporting guidance documents. OMB Memorandum 11-11 requires federal agencies to continue implementing the requirements specified in HSPD-12 to enable agency-wide use of PIV credentials.
cf AU-2
cf PE-3
cf SA-4
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
PIV verification records
evidence of PIV credentials
PIV credential authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms that accept and verify PIV credentials
References: None
IA-8 (2) ACCEPTANCE OF THIRD-PARTY CREDENTIALS
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system accepts only FICAM-approved third-party credentials. |
Supplemental guidance
This control enhancement typically applies to organizational information systems that are accessible to the general public, for example, public-facing websites. Third-party credentials are those credentials issued by nonfederal government entities approved by the Federal Identity, Credential, and Access Management (FICAM) Trust Framework Solutions initiative. Approved third-party credentials meet or exceed the set of minimum federal government-wide technical, security, privacy, and organizational maturity requirements. This allows federal government relying parties to trust such credentials at their approved assurance levels.
cf AU-2
Objective
|
Determine if the information system accepts only FICAM-approved third-party credentials. |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of FICAM-approved, third-party credentialing products, components, or services procured and implemented by organization
third-party credential verification records
evidence of FICAM-approved third-party credentials
third-party credential authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms that accept FICAM-approved credentials
References: None
IA-8 (3) USE OF FICAM-APPROVED PRODUCTS
Parameter: ia-8_a organization-defined information systems
Value: organization-defined information systems
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs only FICAM-approved information system components in ia-8_a organization-defined information systems organization-defined information systems to accept third-party credentials. |
Supplemental guidance
This control enhancement typically applies to information systems that are accessible to the general public, for example, public-facing websites. FICAM-approved information system components include, for example, information technology products and software libraries that have been approved by the Federal Identity, Credential, and Access Management conformance program.
cf SA-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Identification and authentication policy
system and services acquisition policy
procedures addressing user identification and authentication
procedures addressing the integration of security requirements into the acquisition process
information system design documentation
information system configuration settings and associated documentation
information system audit records
third-party credential validations
third-party credential authorizations
third-party credential records
list of FICAM-approved information system components procured and implemented by organization
acquisition documentation
acquisition contracts for information system procurements or services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
system/network administrators
organizational personnel with account management responsibilities
organizational personnel with information system security, acquisition, and contracting responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
References: None
IA-8 (4) USE OF FICAM-ISSUED PROFILES
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system conforms to FICAM-issued profiles. |
Supplemental guidance
This control enhancement addresses open identity management standards. To ensure that these standards are viable, robust, reliable, sustainable (e.g., available in commercial information technology products), and interoperable as documented, the United States Government assesses and scopes identity management standards and technology implementations against applicable federal legislation, directives, policies, and requirements. The result is FICAM-issued implementation profiles of approved protocols (e.g., FICAM authentication protocols such as SAML 2.0 and OpenID 2.0, as well as other protocols such as the FICAM Backend Attribute Exchange).
cf SA-4
Objective
|
Determine if the information system conforms to FICAM-issued profiles. |
Assessment: EXAMINE
Identification and authentication policy
system and services acquisition policy
procedures addressing user identification and authentication
procedures addressing the integration of security requirements into the acquisition process
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of FICAM-issued profiles and associated, approved protocols
acquisition documentation
acquisition contracts for information system procurements or services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
system developers
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
automated mechanisms supporting and/or implementing conformance with FICAM-issued profiles
References: None
Objective
|
Determine if the information system uniquely identifies and authenticates non-organizational users (or processes acting on behalf of non-organizational users). |
Assessment: EXAMINE
Identification and authentication policy
procedures addressing user identification and authentication
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of information system accounts
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system operations responsibilities
organizational personnel with information security responsibilities
system/network administrators
organizational personnel with account management responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing identification and authentication capability
References
OMB Memorandum 04-04
OMB Memorandum 11-11
OMB Memorandum 10-06-2011
FICAM Roadmap and Implementation Guidance
FIPS Publication 201
NIST Special Publication 800-63
NIST Special Publication 800-116
National Strategy for Trusted Identities in Cyberspace
http://idmanagement.gov
INCIDENT RESPONSE
IR-1 INCIDENT RESPONSE POLICY AND PROCEDURES
Parameter: ir-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ir-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: ir-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the IR family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-61
NIST Special Publication 800-83
NIST Special Publication 800-100
IR-2 INCIDENT RESPONSE TRAINING
Parameter: ir-2_a organization-defined time period
Value: organization-defined time period
Parameter: ir-2_b organization-defined frequency
Value: organization-defined frequency
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization provides incident response training to information system users consistent with assigned roles and responsibilities:
|
Supplemental guidance
Incident response training provided by organizations is linked to the assigned roles and responsibilities of organizational personnel to ensure the appropriate content and level of detail is included in such training. For example, regular users may only need to know who to call or how to recognize an incident on the information system; system administrators may require additional training on how to handle/remediate incidents; and incident responders may receive more specific training on forensics, reporting, system recovery, and restoration. Incident response training includes user training in the identification and reporting of suspicious activities, both from external and internal sources.
cf AT-3
cf CP-3
cf IR-8
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response training
incident response training curriculum
incident response training materials
security plan
incident response plan
security plan
incident response training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response training and operational responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-16
NIST Special Publication 800-50
IR-3 INCIDENT RESPONSE TESTING
Parameter: ir-3_a organization-defined frequency
Value: organization-defined frequency
Parameter: ir-3_b organization-defined tests
Value: organization-defined tests
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization tests the incident response capability for the information system ir-3_a organization-defined frequency organization-defined frequency using ir-3_b organization-defined tests organization-defined tests to determine the incident response effectiveness and documents the results. |
Supplemental guidance
Organizations test incident response capabilities to determine the overall effectiveness of the capabilities and to identify potential weaknesses or deficiencies. Incident response testing includes, for example, the use of checklists, walk-through or tabletop exercises, simulations (parallel/full interrupt), and comprehensive exercises. Incident response testing can also include a determination of the effects on organizational operations (e.g., reduction in mission capabilities), organizational assets, and individuals due to incident response.
cf CP-4
cf IR-8
IR-3 (2) COORDINATION WITH RELATED PLANS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization coordinates incident response testing with organizational elements responsible for related plans. |
Supplemental guidance
Organizational plans related to incident response testing include, for example, Business Continuity Plans, Contingency Plans, Disaster Recovery Plans, Continuity of Operations Plans, Crisis Communications Plans, Critical Infrastructure Plans, and Occupant Emergency Plans.
Objective
|
Determine if the organization coordinates incident response testing with organizational elements responsible for related plans. |
Assessment: EXAMINE
Incident response policy
contingency planning policy
procedures addressing incident response testing
incident response testing documentation
incident response plan
business continuity plans
contingency plans
disaster recovery plans
continuity of operations plans
crisis communications plans
critical infrastructure plans
occupant emergency plans
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response testing responsibilities
organizational personnel with responsibilities for testing organizational plans related to incident response testing
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
contingency planning policy
procedures addressing incident response testing
procedures addressing contingency plan testing
incident response testing material
incident response test results
incident response test plan
incident response plan
contingency plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response testing responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-84
NIST Special Publication 800-115
IR-4 INCIDENT HANDLING
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Organizations recognize that incident response capability is dependent on the capabilities of organizational information systems and the mission/business processes being supported by those systems. Therefore, organizations consider incident response as part of the definition, design, and development of mission/business processes and information systems. Incident-related information can be obtained from a variety of sources including, for example, audit monitoring, network monitoring, physical access monitoring, user/administrator reports, and reported supply chain events. Effective incident handling capability includes coordination among many organizational entities including, for example, mission/business owners, information system owners, authorizing officials, human resources offices, physical and personnel security offices, legal departments, operations personnel, procurement offices, and the risk executive (function).
cf AU-6
cf CM-6
cf CP-2
cf CP-4
cf IR-2
cf IR-3
cf IR-8
cf PE-6
cf SC-5
cf SC-7
cf SI-3
cf SI-4
cf SI-7
IR-4 (1) AUTOMATED INCIDENT HANDLING PROCESSES
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms to support the incident handling process. |
Supplemental guidance
Automated mechanisms supporting incident handling processes include, for example, online incident management systems.
Objective
|
Determine if the organization employs automated mechanisms to support the incident handling process. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
automated mechanisms supporting incident handling
information system design documentation
information system configuration settings and associated documentation
information system audit records
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms that support and/or implement the incident handling process
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
contingency planning policy
procedures addressing incident handling
incident response plan
contingency plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident handling responsibilities
organizational personnel with contingency planning responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Incident handling capability for the organization
References
Executive Order 13587
NIST Special Publication 800-61
IR-5 INCIDENT MONITORING
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization tracks and documents information system security incidents. |
Supplemental guidance
Documenting information system security incidents includes, for example, maintaining records about each incident, the status of the incident, and other pertinent information necessary for forensics, evaluating incident details, trends, and handling. Incident information can be obtained from a variety of sources including, for example, incident reports, incident response teams, audit monitoring, network monitoring, physical access monitoring, and user/administrator reports.
cf AU-6
cf IR-8
cf PE-6
cf SC-5
cf SC-7
cf SI-3
cf SI-4
cf SI-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident monitoring
incident response records and documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident monitoring responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Incident monitoring capability for the organization
automated mechanisms supporting and/or implementing tracking and documenting of system security incidents
References
NIST Special Publication 800-61
IR-6 INCIDENT REPORTING
Parameter: ir-6_a organization-defined time period
Value: organization-defined time period
Parameter: ir-6_b organization-defined authorities
Value: organization-defined authorities
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
The intent of this control is to address both specific incident reporting requirements within an organization and the formal incident reporting requirements for federal agencies and their subordinate organizations. Suspected security incidents include, for example, the receipt of suspicious email communications that can potentially contain malicious code. The types of security incidents reported, the content and timeliness of the reports, and the designated reporting authorities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Current federal policy requires that all federal agencies (unless specifically exempted from such requirements) report security incidents to the United States Computer Emergency Readiness Team (US-CERT) within specified time frames designated in the US-CERT Concept of Operations for Federal Cyber Security Incident Handling.
cf IR-4
cf IR-5
cf IR-8
IR-6 (1) AUTOMATED REPORTING
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms to assist in the reporting of security incidents. |
Supplemental guidance
cf IR-7
Objective
|
Determine if the organization employs automated mechanisms to assist in the reporting of security incidents. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident reporting
automated mechanisms supporting incident reporting
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident reporting responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for incident reporting
automated mechanisms supporting and/or implementing reporting of security incidents
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident reporting
incident reporting records and documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident reporting responsibilities
organizational personnel with information security responsibilities
personnel who have/should have reported incidents
personnel (authorities) to whom incident information is to be reported
Assessment: TEST
Organizational processes for incident reporting
automated mechanisms supporting and/or implementing incident reporting
References
NIST Special Publication 800-61
http://www.us-cert.gov
IR-7 INCIDENT RESPONSE ASSISTANCE
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization provides an incident response support resource, integral to the organizational incident response capability that offers advice and assistance to users of the information system for the handling and reporting of security incidents. |
Supplemental guidance
Incident response support resources provided by organizations include, for example, help desks, assistance groups, and access to forensics services, when required.
cf AT-2
cf IR-4
cf IR-6
cf IR-8
cf SA-9
IR-7 (1) AUTOMATION SUPPORT FOR AVAILABILITY OF INFORMATION / SUPPORT
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms to increase the availability of incident response-related information and support. |
Supplemental guidance
Automated mechanisms can provide a push and/or pull capability for users to obtain incident response assistance. For example, individuals might have access to a website to query the assistance capability, or conversely, the assistance capability may have the ability to proactively send information to users (general distribution or targeted) as part of increasing understanding of current response capabilities and support.
Objective
|
Determine if the organization employs automated mechanisms to increase the availability of incident response-related information and support. |
Assessment: EXAMINE
Incident response policy
procedures addressing incident response assistance
automated mechanisms supporting incident response support and assistance
information system design documentation
information system configuration settings and associated documentation
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response support and assistance responsibilities
organizational personnel with access to incident response support and assistance capability
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for incident response assistance
automated mechanisms supporting and/or implementing an increase in the availability of incident response information and support
References: None
IR-7 (2) COORDINATION WITH EXTERNAL PROVIDERS
Control
|
The organization:
|
Supplemental guidance
External providers of information system protection capability include, for example, the Computer Network Defense program within the U.S. Department of Defense. External providers help to protect, monitor, analyze, detect, and respond to unauthorized activity within organizational information systems and networks.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response assistance
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response support and assistance responsibilities
external providers of information system protection capability
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization provides an incident response support resource:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response assistance
incident response plan
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response assistance and support responsibilities
organizational personnel with access to incident response support and assistance capability
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for incident response assistance
automated mechanisms supporting and/or implementing incident response assistance
References: None
IR-8 INCIDENT RESPONSE PLAN
Parameter: ir-8_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ir-8_b organization-defined incident response personnel (identified by name and/or by role) and organizational elements
Value: organization-defined incident response personnel (identified by name and/or by role) and organizational elements
Parameter: ir-8_c organization-defined frequency
Value: organization-defined frequency
Parameter: ir-8_d organization-defined incident response personnel (identified by name and/or by role) and organizational elements
Value: organization-defined incident response personnel (identified by name and/or by role) and organizational elements
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
It is important that organizations develop and implement a coordinated approach to incident response. Organizational missions, business functions, strategies, goals, and objectives for incident response help to determine the structure of incident response capabilities. As part of a comprehensive incident response capability, organizations consider the coordination and sharing of information with external organizations, including, for example, external service providers and organizations involved in the supply chain for organizational information systems.
cf MP-2
cf MP-4
cf MP-5
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident response planning
incident response plan
records of incident response plan reviews and approvals
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response planning responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational incident response plan and related organizational processes
References
NIST Special Publication 800-61
IR-9 INFORMATION SPILLAGE RESPONSE
Parameter: ir-9_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ir-9_b organization-defined actions
Value: organization-defined actions
priority: P0
Control
|
The organization responds to information spills by:
|
Supplemental guidance
Information spillage refers to instances where either classified or sensitive information is inadvertently placed on information systems that are not authorized to process such information. Such information spills often occur when information that is initially thought to be of lower sensitivity is transmitted to an information system and then is subsequently determined to be of higher sensitivity. At that point, corrective action is required. The nature of the organizational response is generally based upon the degree of sensitivity of the spilled information (e.g., security category or classification level), the security capabilities of the information system, the specific nature of contaminated storage media, and the access authorizations (e.g., security clearances) of individuals with authorized access to the contaminated system. The methods used to communicate information about the spill after the fact do not involve methods directly associated with the actual spill to minimize the risk of further spreading the contamination before such contamination is isolated and eradicated.
IR-9 (1) RESPONSIBLE PERSONNEL
Parameter: ir-9_c organization-defined personnel or roles
Value: organization-defined personnel or roles
Control
|
The organization assigns ir-9_c organization-defined personnel or roles organization-defined personnel or roles with responsibility for responding to information spills. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing information spillage
incident response plan
list of personnel responsible for responding to information spillage
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
References: None
IR-9 (2) TRAINING
Parameter: ir-9_d organization-defined frequency
Value: organization-defined frequency
Control
|
The organization provides information spillage response training ir-9_d organization-defined frequency organization-defined frequency . |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing information spillage response training
information spillage response training curriculum
information spillage response training materials
incident response plan
information spillage response training records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response training responsibilities
organizational personnel with information security responsibilities
References: None
IR-9 (3) POST-SPILL OPERATIONS
Parameter: ir-9_e organization-defined procedures
Value: organization-defined procedures
Control
|
The organization implements ir-9_e organization-defined procedures organization-defined procedures to ensure that organizational personnel impacted by information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. |
Supplemental guidance
Correction actions for information systems contaminated due to information spillages may be very time-consuming. During those periods, personnel may not have access to the contaminated systems, which may potentially affect their ability to conduct organizational business.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
procedures addressing information spillage
incident response plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for post-spill operations
References: None
IR-9 (4) EXPOSURE TO UNAUTHORIZED PERSONNEL
Parameter: ir-9_f organization-defined security safeguards
Value: organization-defined security safeguards
Control
|
The organization employs ir-9_f organization-defined security safeguards organization-defined security safeguards for personnel exposed to information not within assigned access authorizations. |
Supplemental guidance
Security safeguards include, for example, making personnel exposed to spilled information aware of the federal laws, directives, policies, and/or regulations regarding the information and the restrictions imposed based on exposure to such information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing incident handling
procedures addressing information spillage
incident response plan
security safeguards regarding information spillage/exposure to unauthorized personnel
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for dealing with information exposed to unauthorized personnel
automated mechanisms supporting and/or implementing safeguards for personnel exposed to information not within assigned access authorizations
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Incident response policy
procedures addressing information spillage
incident response plan
records of information spillage alerts/notifications, list of personnel who should receive alerts of information spillage
list of actions to be performed regarding information spillage
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for information spillage response
automated mechanisms supporting and/or implementing information spillage response actions and related communications
References: None
MAINTENANCE
MA-1 SYSTEM MAINTENANCE POLICY AND PROCEDURES
Parameter: ma-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ma-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: ma-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Maintenance policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with maintenance responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
MA-2 CONTROLLED MAINTENANCE
Parameter: ma-2_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ma-2_b organization-defined maintenance-related information
Value: organization-defined maintenance-related information
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the information security aspects of the information system maintenance program and applies to all types of maintenance to any system component (including applications) conducted by any local or nonlocal entity (e.g., in-contract, warranty, in-house, software maintenance agreement). System maintenance also includes those components not directly associated with information processing and/or data/information retention such as scanners, copiers, and printers. Information necessary for creating effective maintenance records includes, for example: (i) date and time of maintenance; (ii) name of individuals or group performing the maintenance; (iii) name of escort, if necessary; (iv) a description of the maintenance performed; and (v) information system components/equipment removed or replaced (including identification numbers, if applicable). The level of detail included in maintenance records can be informed by the security categories of organizational information systems. Organizations consider supply chain issues associated with replacement components for information systems.
cf CM-3
cf CM-4
cf MA-4
cf MP-6
cf PE-16
cf #sa.12
cf SI-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing controlled information system maintenance
maintenance records
manufacturer/vendor maintenance specifications
equipment sanitization records
media sanitization records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
organizational personnel responsible for media sanitization
system/network administrators
Assessment: TEST
Organizational processes for scheduling, performing, documenting, reviewing, approving, and monitoring maintenance and repairs for the information system
organizational processes for sanitizing information system components
automated mechanisms supporting and/or implementing controlled maintenance
automated mechanisms implementing sanitization of information system components
References: None
MA-3 MAINTENANCE TOOLS
priority: P3
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization approves, controls, and monitors information system maintenance tools. |
Supplemental guidance
This control addresses security-related issues associated with maintenance tools used specifically for diagnostic and repair actions on organizational information systems. Maintenance tools can include hardware, software, and firmware items. Maintenance tools are potential vehicles for transporting malicious code, either intentionally or unintentionally, into a facility and subsequently into organizational information systems. Maintenance tools can include, for example, hardware/software diagnostic test equipment and hardware/software packet sniffers. This control does not cover hardware/software components that may support information system maintenance, yet are a part of the system, for example, the software implementing �ping,� �ls,� �ipconfig,� or the hardware and software implementing the monitoring port of an Ethernet switch.
cf MA-2
cf MA-5
cf MP-6
MA-3 (1) INSPECT TOOLS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. |
Supplemental guidance
If, upon inspection of maintenance tools, organizations determine that the tools have been modified in an improper/unauthorized manner or contain malicious code, the incident is handled consistent with organizational policies and procedures for incident handling.
cf SI-7
Objective
|
Determine if the organization inspects the maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance tool inspection records
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for inspecting maintenance tools
automated mechanisms supporting and/or implementing inspection of maintenance tools
References: None
MA-3 (2) INSPECT MEDIA
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system. |
Supplemental guidance
If, upon inspection of media containing maintenance diagnostic and test programs, organizations determine that the media contain malicious code, the incident is handled consistent with organizational incident handling policies and procedures.
cf SI-3
Objective
|
Determine if the organization checks media containing diagnostic and test programs for malicious code before the media are used in the information system. |
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational process for inspecting media for malicious code
automated mechanisms supporting and/or implementing inspection of media used for maintenance
References: None
MA-3 (3) PREVENT UNAUTHORIZED REMOVAL
Parameter: ma-3_a organization-defined personnel or roles
Value: organization-defined personnel or roles
baseline-impact: HIGH
Control
|
The organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
|
Supplemental guidance
Organizational information includes all information specifically owned by organizations and information provided to organizations in which organizations serve as information stewards.
Objectives
|
Determine if the organization prevents the unauthorized removal of maintenance equipment containing organizational information by:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance records
equipment sanitization records
media sanitization records
exemptions for equipment removal
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
organizational personnel responsible for media sanitization
Assessment: TEST
Organizational process for preventing unauthorized removal of information
automated mechanisms supporting media sanitization or destruction of equipment
automated mechanisms supporting verification of media sanitization
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance tools
information system maintenance tools and associated documentation
maintenance records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for approving, controlling, and monitoring maintenance tools
automated mechanisms supporting and/or implementing approval, control, and/or monitoring of maintenance tools
References
NIST Special Publication 800-88
MA-4 NONLOCAL MAINTENANCE
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Nonlocal maintenance and diagnostic activities are those activities conducted by individuals communicating through a network, either an external network (e.g., the Internet) or an internal network. Local maintenance and diagnostic activities are those activities carried out by individuals physically present at the information system or information system component and not communicating across a network connection. Authentication techniques used in the establishment of nonlocal maintenance and diagnostic sessions reflect the network access requirements in IA-2. Typically, strong authentication requires authenticators that are resistant to replay attacks and employ multifactor authentication. Strong authenticators include, for example, PKI where certificates are stored on a token protected by a password, passphrase, or biometric. Enforcing requirements in MA-4 is accomplished in part by other controls.
cf AC-2
cf AC-3
cf AC-6
cf AC-17
cf AU-2
cf AU-3
cf IA-2
cf IA-4
cf IA-5
cf IA-8
cf MA-2
cf MA-5
cf MP-6
cf PL-2
cf SC-7
cf SC-10
cf SC-17
MA-4 (2) DOCUMENT NONLOCAL MAINTENANCE
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization documents in the security plan for the information system, the policies and procedures for the establishment and use of nonlocal maintenance and diagnostic connections. |
Objectives
|
Determine if the organization documents in the security plan for the information system:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing non-local information system maintenance
security plan
maintenance records
diagnostic records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing nonlocal information system maintenance
security plan
information system design documentation
information system configuration settings and associated documentation
maintenance records
diagnostic records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for managing nonlocal maintenance
automated mechanisms implementing, supporting, and/or managing nonlocal maintenance
automated mechanisms for strong authentication of nonlocal maintenance diagnostic sessions
automated mechanisms for terminating nonlocal maintenance sessions and network connections
References
FIPS Publication 140-2
FIPS Publication 197
FIPS Publication 201
NIST Special Publication 800-63
NIST Special Publication 800-88
CNSS Policy 15
MA-5 MAINTENANCE PERSONNEL
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies to individuals performing hardware or software maintenance on organizational information systems, while PE-2 addresses physical access for individuals whose maintenance duties place them within the physical protection perimeter of the systems (e.g., custodial staff, physical plant maintenance personnel). Technical competence of supervising individuals relates to the maintenance performed on the information systems while having required access authorizations refers to maintenance on and near the systems. Individuals not previously identified as authorized maintenance personnel, such as information technology manufacturers, vendors, systems integrators, and consultants, may require privileged access to organizational information systems, for example, when required to conduct maintenance activities with little or no notice. Based on organizational assessments of risk, organizations may issue temporary credentials to these individuals. Temporary credentials may be for one-time use or for very limited time periods.
cf AC-2
cf IA-8
cf MP-2
cf PE-2
cf PE-3
cf PE-4
cf RA-3
MA-5 (1) INDIVIDUALS WITHOUT APPROPRIATE ACCESS
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control enhancement denies individuals who lack appropriate security clearances (i.e., individuals who do not possess security clearances or possess security clearances at a lower level than required) or who are not U.S. citizens, visual and electronic access to any classified information, Controlled Unclassified Information (CUI), or any other sensitive information contained on organizational information systems. Procedures for the use of maintenance personnel can be documented in security plans for the information systems.
cf MP-6
cf PL-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
information system media protection policy
physical and environmental protection policy
security plan
list of maintenance personnel requiring escort/supervision
maintenance records
access control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with personnel security responsibilities
organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
organizational personnel responsible for media sanitization
system/network administrators
Assessment: TEST
Organizational processes for managing maintenance personnel without appropriate access
automated mechanisms supporting and/or implementing alternative security safeguards
automated mechanisms supporting and/or implementing information storage component sanitization
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing maintenance personnel
service provider contracts
service-level agreements
list of authorized personnel
maintenance records
access control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for authorizing and managing maintenance personnel
automated mechanisms supporting and/or implementing authorization of maintenance personnel
References: None
MA-6 TIMELY MAINTENANCE
Parameter: ma-6_a organization-defined information system components
Value: organization-defined information system components
Parameter: ma-6_b organization-defined time period
Value: organization-defined time period
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization obtains maintenance support and/or spare parts for ma-6_a organization-defined information system components organization-defined information system components within ma-6_b organization-defined time period organization-defined time period of failure. |
Supplemental guidance
Organizations specify the information system components that result in increased risk to organizational operations and assets, individuals, other organizations, or the Nation when the functionality provided by those components is not operational. Organizational actions to obtain maintenance support typically include having appropriate contracts in place.
cf CM-8
cf CP-2
cf CP-7
cf #sa.14
cf #sa.15
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system maintenance policy
procedures addressing information system maintenance
service provider contracts
service-level agreements
inventory and availability of spare parts
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system maintenance responsibilities
organizational personnel with acquisition responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for ensuring timely maintenance
References: None
MEDIA PROTECTION
MP-1 MEDIA PROTECTION POLICY AND PROCEDURES
Parameter: mp-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: mp-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: mp-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the MP family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Media protection policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with media protection responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
MP-2 MEDIA ACCESS
Parameter: mp-2_a organization-defined types of digital and/or non-digital media
Value: organization-defined types of digital and/or non-digital media
Parameter: mp-2_b organization-defined personnel or roles
Value: organization-defined personnel or roles
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization restricts access to mp-2_a organization-defined types of digital and/or non-digital media organization-defined types of digital and/or non-digital media to mp-2_b organization-defined personnel or roles organization-defined personnel or roles . |
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Restricting non-digital media access includes, for example, denying access to patient medical records in a community hospital unless the individuals seeking access to such records are authorized healthcare providers. Restricting access to digital media includes, for example, limiting access to design specifications stored on compact disks in the media library to the project leader and the individuals on the development team.
cf AC-3
cf IA-2
cf MP-4
cf PE-2
cf PE-3
cf PL-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media access restrictions
access control policy and procedures
physical and environmental protection policy and procedures
media storage facilities
access control records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for restricting information media
automated mechanisms supporting and/or implementing media access restrictions
References
FIPS Publication 199
NIST Special Publication 800-111
MP-3 MEDIA MARKING
Parameter: mp-3_a organization-defined types of information system media
Value: organization-defined types of information system media
Parameter: mp-3_b organization-defined controlled areas
Value: organization-defined controlled areas
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
The term security marking refers to the application/use of human-readable security attributes. The term security labeling refers to the application/use of security attributes with regard to internal data structures within information systems (see AC-16). Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Security marking is generally not required for media containing information determined by organizations to be in the public domain or to be publicly releasable. However, some organizations may require markings for public information indicating that the information is publicly releasable. Marking of information system media reflects applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance.
cf #ac.16
cf PL-2
cf RA-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media marking
physical and environmental protection policy and procedures
security plan
list of information system media marking security attributes
designated controlled areas
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection and marking responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for marking information media
automated mechanisms supporting and/or implementing media marking
References
FIPS Publication 199
MP-4 MEDIA STORAGE
Parameter: mp-4_a organization-defined types of digital and/or non-digital media
Value: organization-defined types of digital and/or non-digital media
Parameter: mp-4_b organization-defined controlled areas
Value: organization-defined controlled areas
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. Physically controlling information system media includes, for example, conducting inventories, ensuring procedures are in place to allow individuals to check out and return media to the media library, and maintaining accountability for all stored media. Secure storage includes, for example, a locked drawer, desk, or cabinet, or a controlled media library. The type of media storage is commensurate with the security category and/or classification of the information residing on the media. Controlled areas are areas for which organizations provide sufficient physical and procedural safeguards to meet the requirements established for protecting information and/or information systems. For media containing information determined by organizations to be in the public domain, to be publicly releasable, or to have limited or no adverse impact on organizations or individuals if accessed by other than authorized personnel, fewer safeguards may be needed. In these situations, physical access controls provide adequate protection.
cf CP-6
cf CP-9
cf MP-2
cf MP-7
cf PE-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media storage
physical and environmental protection policy and procedures
access control policy and procedures
security plan
information system media
designated controlled areas
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection and storage responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for storing information media
automated mechanisms supporting and/or implementing secure media storage/media protection
References
FIPS Publication 199
NIST Special Publication 800-56
NIST Special Publication 800-57
NIST Special Publication 800-111
MP-5 MEDIA TRANSPORT
Parameter: mp-5_a organization-defined types of information system media
Value: organization-defined types of information system media
Parameter: mp-5_b organization-defined security safeguards
Value: organization-defined security safeguards
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers), that are transported outside of controlled areas. Controlled areas are areas or spaces for which organizations provide sufficient physical and/or procedural safeguards to meet the requirements established for protecting information and/or information systems. Physical and technical safeguards for media are commensurate with the security category or classification of the information residing on the media. Safeguards to protect media during transport include, for example, locked containers and cryptography. Cryptographic mechanisms can provide confidentiality and integrity protections depending upon the mechanisms used. Activities associated with transport include the actual transport as well as those activities such as releasing media for transport and ensuring that media enters the appropriate transport processes. For the actual transport, authorized transport and courier personnel may include individuals from outside the organization (e.g., U.S. Postal Service or a commercial transport or delivery service). Maintaining accountability of media during transport includes, for example, restricting transport activities to authorized personnel, and tracking and/or obtaining explicit records of transport activities as the media moves through the transportation system to prevent and detect loss, destruction, or tampering. Organizations establish documentation requirements for activities associated with the transport of information system media in accordance with organizational assessments of risk to include the flexibility to define different record-keeping methods for the different types of media transport as part of an overall system of transport-related records.
cf AC-19
cf CP-9
cf MP-3
cf MP-4
cf RA-3
cf SC-8
cf SC-13
cf SC-28
MP-5 (4) CRYPTOGRAPHIC PROTECTION
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. |
Supplemental guidance
This control enhancement applies to both portable storage devices (e.g., USB memory sticks, compact disks, digital video disks, external/removable hard disk drives) and mobile devices with storage capability (e.g., smart phones, tablets, E-readers).
cf MP-2
Objective
|
Determine if the organization employs cryptographic mechanisms to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas. |
Assessment: EXAMINE
Information system media protection policy
procedures addressing media transport
information system design documentation
information system configuration settings and associated documentation
information system media transport records
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media transport responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Cryptographic mechanisms protecting information on digital media during transportation outside controlled areas
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media storage
physical and environmental protection policy and procedures
access control policy and procedures
security plan
information system media
designated controlled areas
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media protection and storage responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for storing information media
automated mechanisms supporting and/or implementing media storage/media protection
References
FIPS Publication 199
NIST Special Publication 800-60
MP-6 MEDIA SANITIZATION
Parameter: mp-6_a organization-defined information system media
Value: organization-defined information system media
Parameter: mp-6_b organization-defined sanitization techniques and procedures
Value: organization-defined sanitization techniques and procedures
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies to all information system media, both digital and non-digital, subject to disposal or reuse, whether or not the media is considered removable. Examples include media found in scanners, copiers, printers, notebook computers, workstations, network components, and mobile devices. The sanitization process removes information from the media such that the information cannot be retrieved or reconstructed. Sanitization techniques, including clearing, purging, cryptographic erase, and destruction, prevent the disclosure of information to unauthorized individuals when such media is reused or released for disposal. Organizations determine the appropriate sanitization methods recognizing that destruction is sometimes necessary when other methods cannot be applied to media requiring sanitization. Organizations use discretion on the employment of approved sanitization techniques and procedures for media containing information deemed to be in the public domain or publicly releasable, or deemed to have no adverse impact on organizations or individuals if released for reuse or disposal. Sanitization of non-digital media includes, for example, removing a classified appendix from an otherwise unclassified document, or redacting selected sections or words from a document by obscuring the redacted sections/words in a manner equivalent in effectiveness to removing them from the document. NSA standards and policies control the sanitization process for media containing classified information.
cf MA-2
cf MA-4
cf RA-3
cf SC-4
MP-6 (2) EQUIPMENT TESTING
Parameter: mp-6_c organization-defined frequency
Value: organization-defined frequency
baseline-impact: HIGH
Control
|
The organization tests sanitization equipment and procedures mp-6_c organization-defined frequency organization-defined frequency to verify that the intended sanitization is being achieved. |
Supplemental guidance
Testing of sanitization equipment and procedures may be conducted by qualified and authorized external entities (e.g., other federal agencies or external service providers).
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
procedures addressing testing of media sanitization equipment
results of media sanitization equipment and procedures testing
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media sanitization responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for media sanitization
automated mechanisms supporting and/or implementing media sanitization
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
procedures addressing media sanitization and disposal
applicable federal standards and policies addressing media sanitization
media sanitization records
audit records
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with media sanitization responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media sanitization
automated mechanisms supporting and/or implementing media sanitization
References
FIPS Publication 199
NIST Special Publication 800-60
NIST Special Publication 800-88
http://www.nsa.gov/ia/mitigation_guidance/media_destruction_guidance/index.shtml
MP-7 MEDIA USE
Parameter: mp-7_a organization-defined types of information system media
Value: organization-defined types of information system media
Parameter: mp-7_b organization-defined information systems or system components
Value: organization-defined information systems or system components
Parameter: mp-7_c organization-defined security safeguards
Value: organization-defined security safeguards
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization [Selection: restricts; prohibits] the use of mp-7_a organization-defined types of information system media organization-defined types of information system media on mp-7_b organization-defined information systems or system components organization-defined information systems or system components using mp-7_c organization-defined security safeguards organization-defined security safeguards . |
Supplemental guidance
Information system media includes both digital and non-digital media. Digital media includes, for example, diskettes, magnetic tapes, external/removable hard disk drives, flash drives, compact disks, and digital video disks. Non-digital media includes, for example, paper and microfilm. This control also applies to mobile devices with information storage capability (e.g., smart phones, tablets, E-readers). In contrast to MP-2, which restricts user access to media, this control restricts the use of certain types of media on information systems, for example, restricting/prohibiting the use of flash drives or external hard disk drives. Organizations can employ technical and nontechnical safeguards (e.g., policies, procedures, rules of behavior) to restrict the use of information system media. Organizations may restrict the use of portable storage devices, for example, by using physical cages on workstations to prohibit access to certain external ports, or disabling/removing the ability to insert, read or write to such devices. Organizations may also limit the use of portable storage devices to only approved devices including, for example, devices provided by the organization, devices provided by other approved organizations, and devices that are not personally owned. Finally, organizations may restrict the use of portable storage devices based on the type of device, for example, prohibiting the use of writeable, portable storage devices, and implementing this restriction by disabling or removing the capability to write to such devices.
cf AC-19
cf PL-4
MP-7 (1) PROHIBIT USE WITHOUT OWNER
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner. |
Supplemental guidance
Requiring identifiable owners (e.g., individuals, organizations, or projects) for portable storage devices reduces the risk of using such technologies by allowing organizations to assign responsibility and accountability for addressing known vulnerabilities in the devices (e.g., malicious code insertion).
cf PL-4
Objective
|
Determine if the organization prohibits the use of portable storage devices in organizational information systems when such devices have no identifiable owner. |
Assessment: EXAMINE
Information system media protection policy
system use policy
procedures addressing media usage restrictions
security plan
rules of behavior
information system design documentation
information system configuration settings and associated documentation
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media use responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media use
automated mechanisms prohibiting use of media on information systems or system components
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Information system media protection policy
system use policy
procedures addressing media usage restrictions
security plan
rules of behavior
information system design documentation
information system configuration settings and associated documentation
audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information system media use responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for media use
automated mechanisms restricting or prohibiting use of information system media on information systems or system components
References
FIPS Publication 199
NIST Special Publication 800-111
PHYSICAL AND ENVIRONMENTAL PROTECTION
PE-1 PHYSICAL AND ENVIRONMENTAL PROTECTION POLICY AND PROCEDURES
Parameter: pe-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: pe-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: pe-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PE family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical and environmental protection responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
PE-2 PHYSICAL ACCESS AUTHORIZATIONS
Parameter: pe-2_a organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Authorization credentials include, for example, badges, identification cards, and smart cards. Organizations determine the strength of authorization credentials needed (including level of forge-proof badges, smart cards, or identification cards) consistent with federal standards, policies, and procedures. This control only applies to areas within facilities that have not been designated as publicly accessible.
cf PE-3
cf PE-4
cf PS-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access authorizations
security plan
authorized personnel access list
authorization credentials
physical access list reviews
physical access termination records and associated documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access authorization responsibilities
organizational personnel with physical access to information system facility
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access authorizations
automated mechanisms supporting and/or implementing physical access authorizations
References: None
PE-3 PHYSICAL ACCESS CONTROL
Parameter: pe-3_a organization-defined entry/exit points to the facility where the information system resides
Value: organization-defined entry/exit points to the facility where the information system resides
Parameter: pe-3_b organization-defined physical access control systems/devices
Value: organization-defined physical access control systems/devices
Parameter: pe-3_c organization-defined entry/exit points
Value: organization-defined entry/exit points
Parameter: pe-3_d organization-defined security safeguards
Value: organization-defined security safeguards
Parameter: pe-3_e organization-defined circumstances requiring visitor escorts and monitoring
Value: organization-defined circumstances requiring visitor escorts and monitoring
Parameter: pe-3_f organization-defined physical access devices
Value: organization-defined physical access devices
Parameter: pe-3_g organization-defined frequency
Value: organization-defined frequency
Parameter: pe-3_h organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies to organizational employees and visitors. Individuals (e.g., employees, contractors, and others) with permanent physical access authorization credentials are not considered visitors. Organizations determine the types of facility guards needed including, for example, professional physical security staff or other personnel such as administrative staff or information system users. Physical access devices include, for example, keys, locks, combinations, and card readers. Safeguards for publicly accessible areas within organizational facilities include, for example, cameras, monitoring by guards, and isolating selected information systems and/or system components in secured areas. Physical access control systems comply with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and guidance. The Federal Identity, Credential, and Access Management Program provides implementation guidance for identity, credential, and access management capabilities for physical access control systems. Organizations have flexibility in the types of audit logs employed. Audit logs can be procedural (e.g., a written log of individuals accessing the facility and when such access occurred), automated (e.g., capturing ID provided by a PIV card), or some combination thereof. Physical access points can include facility access points, interior access points to information systems and/or components requiring supplemental access controls, or both. Components of organizational information systems (e.g., workstations, terminals) may be located in areas designated as publicly accessible with organizations safeguarding access to such devices.
cf AU-2
cf AU-6
cf MP-2
cf MP-4
cf PE-2
cf PE-4
cf PE-5
cf PS-3
cf RA-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access control
security plan
physical access control logs or records
inventory records of physical access control devices
information system entry and exit points
records of key and lock combination changes
storage locations for physical access control devices
physical access control devices
list of security safeguards controlling access to designated publicly accessible areas within facility
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for physical access control
automated mechanisms supporting and/or implementing physical access control
physical access control devices
References
FIPS Publication 201
NIST Special Publication 800-73
NIST Special Publication 800-76
NIST Special Publication 800-78
NIST Special Publication 800-116
ICD 704
ICD 705
DoD Instruction 5200.39
Personal Identity Verification (PIV) in Enterprise Physical Access Control System (E-PACS)
http://idmanagement.gov
http://fips201ep.cio.gov
PE-4 ACCESS CONTROL FOR TRANSMISSION MEDIUM
Parameter: pe-4_a organization-defined information system distribution and transmission lines
Value: organization-defined information system distribution and transmission lines
Parameter: pe-4_b organization-defined security safeguards
Value: organization-defined security safeguards
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization controls physical access to pe-4_a organization-defined information system distribution and transmission lines organization-defined information system distribution and transmission lines within organizational facilities using pe-4_b organization-defined security safeguards organization-defined security safeguards . |
Supplemental guidance
Physical security safeguards applied to information system distribution and transmission lines help to prevent accidental damage, disruption, and physical tampering. In addition, physical safeguards may be necessary to help prevent eavesdropping or in transit modification of unencrypted transmissions. Security safeguards to control physical access to system distribution and transmission lines include, for example: (i) locked wiring closets; (ii) disconnected or locked spare jacks; and/or (iii) protection of cabling by conduit or cable trays.
cf MP-2
cf MP-4
cf PE-2
cf PE-3
cf PE-5
cf SC-7
cf SC-8
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing access control for transmission medium
information system design documentation
facility communications and wiring diagrams
list of physical security safeguards applied to information system distribution and transmission lines
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access control to distribution and transmission lines
automated mechanisms/security safeguards supporting and/or implementing access control to distribution and transmission lines
References
NSTISSI No. 7003
PE-5 ACCESS CONTROL FOR OUTPUT DEVICES
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. |
Supplemental guidance
Controlling physical access to output devices includes, for example, placing output devices in locked rooms or other secured areas and allowing access to authorized individuals only, and placing output devices in locations that can be monitored by organizational personnel. Monitors, printers, copiers, scanners, facsimile machines, and audio devices are examples of information system output devices.
cf PE-2
cf PE-3
cf PE-4
cf #pe.18
Objective
|
Determine if the organization controls physical access to information system output devices to prevent unauthorized individuals from obtaining the output. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing access control for display medium
facility layout of information system components
actual displays from information system components
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access control responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access control to output devices
automated mechanisms supporting and/or implementing access control to output devices
References: None
PE-6 MONITORING PHYSICAL ACCESS
Parameter: pe-6_a organization-defined frequency
Value: organization-defined frequency
Parameter: pe-6_b organization-defined events or potential indications of events
Value: organization-defined events or potential indications of events
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Organizational incident response capabilities include investigations of and responses to detected physical security incidents. Security incidents include, for example, apparent security violations or suspicious physical access activities. Suspicious physical access activities include, for example: (i) accesses outside of normal work hours; (ii) repeated accesses to areas not normally accessed; (iii) accesses for unusual lengths of time; and (iv) out-of-sequence accesses.
cf CA-7
cf IR-4
cf IR-8
PE-6 (1) INTRUSION ALARMS / SURVEILLANCE EQUIPMENT
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization monitors physical intrusion alarms and surveillance equipment. |
Objective
|
Determine if the organization monitors physical intrusion alarms and surveillance equipment. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access monitoring
security plan
physical access logs or records
physical access monitoring records
physical access log reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access monitoring responsibilities
organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring physical intrusion alarms and surveillance equipment
automated mechanisms supporting and/or implementing physical access monitoring
automated mechanisms supporting and/or implementing physical intrusion alarms and surveillance equipment
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing physical access monitoring
security plan
physical access logs or records
physical access monitoring records
physical access log reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with physical access monitoring responsibilities
organizational personnel with incident response responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring physical access
automated mechanisms supporting and/or implementing physical access monitoring
automated mechanisms supporting and/or implementing reviewing of physical access logs
References: None
PE-8 VISITOR ACCESS RECORDS
Parameter: pe-8_a organization-defined time period
Value: organization-defined time period
Parameter: pe-8_b organization-defined frequency
Value: organization-defined frequency
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Visitor access records include, for example, names and organizations of persons visiting, visitor signatures, forms of identification, dates of access, entry and departure times, purposes of visits, and names and organizations of persons visited. Visitor access records are not required for publicly accessible areas.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing visitor access records
security plan
visitor access control logs or records
visitor access record or log reviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with visitor access records responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for maintaining and reviewing visitor access records
automated mechanisms supporting and/or implementing maintenance and review of visitor access records
References: None
PE-9 POWER EQUIPMENT AND CABLING
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization protects power equipment and power cabling for the information system from damage and destruction. |
Supplemental guidance
Organizations determine the types of protection necessary for power equipment and cabling employed at different locations both internal and external to organizational facilities and environments of operation. This includes, for example, generators and power cabling outside of buildings, internal cabling and uninterruptable power sources within an office or data center, and power sources for self-contained entities such as vehicles and satellites.
cf PE-4
Objective
|
Determine if the organization protects power equipment and power cabling for the information system from damage and destruction. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing power equipment/cabling protection
facilities housing power equipment/cabling
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for protecting power equipment/cabling
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing protection of power equipment/cabling
References: None
PE-10 EMERGENCY SHUTOFF
Parameter: pe-10_a organization-defined location by information system or system component
Value: organization-defined location by information system or system component
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
cf PE-15
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing power source emergency shutoff
security plan
emergency shutoff controls or switches
locations housing emergency shutoff switches and devices
security safeguards protecting emergency power shutoff capability from unauthorized activation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency power shutoff capability (both implementing and using the capability)
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing emergency power shutoff
References: None
PE-11 EMERGENCY POWER
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): an orderly shutdown of the information system; transition of the information system to long-term alternate power] in the event of a primary power source loss. |
Objectives
|
Determine if the organization provides a short-term uninterruptible power supply to facilitate one or more of the following in the event of a primary power source loss:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing emergency power
uninterruptible power supply
uninterruptible power supply documentation
uninterruptible power supply test records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency power and/or planning
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing uninterruptible power supply
the uninterruptable power supply
References: None
PE-12 EMERGENCY LIGHTING
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs and maintains automatic emergency lighting for the information system that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility. |
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms.
cf CP-2
cf CP-7
Objectives
|
Determine if the organization employs and maintains automatic emergency lighting for the information system that:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing emergency lighting
emergency lighting documentation
emergency lighting test records
emergency exits and evacuation routes
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for emergency lighting and/or planning
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing emergency lighting capability
References: None
PE-13 FIRE PROTECTION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs and maintains fire suppression and detection devices/systems for the information system that are supported by an independent energy source. |
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Fire suppression and detection devices/systems include, for example, sprinkler systems, handheld fire extinguishers, fixed fire hoses, and smoke detectors.
PE-13 (2) SUPPRESSION DEVICES / SYSTEMS
Parameter: pe-13_c organization-defined emergency responders
Value: organization-defined emergency responders
baseline-impact: HIGH
Control
|
The organization employs fire suppression devices/systems for the information system that provide automatic notification of any activation to Assignment: organization-defined personnel or roles] and pe-13_c organization-defined emergency responders organization-defined emergency responders . |
Supplemental guidance
Organizations can identify specific personnel, roles, and emergency responders in the event that individuals on the notification list must have appropriate access authorizations and/or clearances, for example, to obtain access to facilities where classified operations are taking place or where there are information systems containing classified information.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
fire suppression and detection devices/systems documentation
facility housing the information system
alarm service-level agreements
test records of fire suppression and detection devices/systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for fire detection and suppression devices/systems
organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing fire suppression devices/systems
activation of fire suppression devices/systems (simulated)
automated notifications
References: None
PE-13 (3) AUTOMATIC FIRE SUPPRESSION
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. |
Objective
|
Determine if the organization employs an automatic fire suppression capability for the information system when the facility is not staffed on a continuous basis. |
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
fire suppression and detection devices/systems documentation
facility housing the information system
alarm service-level agreements
test records of fire suppression and detection devices/systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for fire detection and suppression devices/systems
organizational personnel with responsibilities for providing automatic notifications of any activation of fire suppression devices/systems to appropriate personnel, roles, and emergency responders
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing fire suppression devices/systems
activation of fire suppression devices/systems (simulated)
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing fire protection
fire suppression and detection devices/systems
fire suppression and detection devices/systems documentation
test records of fire suppression and detection devices/systems
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for fire detection and suppression devices/systems
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing fire suppression/detection devices/systems
References: None
PE-14 TEMPERATURE AND HUMIDITY CONTROLS
Parameter: pe-14_a organization-defined acceptable levels
Value: organization-defined acceptable levels
Parameter: pe-14_b organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources, for example, data centers, server rooms, and mainframe computer rooms.
cf AT-3
PE-14 (2) MONITORING WITH ALARMS / NOTIFICATIONS
Control
|
The organization employs temperature and humidity monitoring that provides an alarm or notification of changes potentially harmful to personnel or equipment. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing temperature and humidity monitoring
facility housing the information system
logs or records of temperature and humidity monitoring
records of changes to temperature and humidity levels that generate alarms or notifications
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing temperature and humidity monitoring
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing temperature and humidity control
security plan
temperature and humidity controls
facility housing the information system
temperature and humidity controls documentation
temperature and humidity records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing maintenance and monitoring of temperature and humidity levels
References: None
PE-15 WATER DAMAGE PROTECTION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are accessible, working properly, and known to key personnel. |
Supplemental guidance
This control applies primarily to facilities containing concentrations of information system resources including, for example, data centers, server rooms, and mainframe computer rooms. Isolation valves can be employed in addition to or in lieu of master shutoff valves to shut off water supplies in specific areas of concern, without affecting entire organizations.
cf AT-3
Objectives
|
Determine if the organization protects the information system from damage resulting from water leakage by providing master shutoff or isolation valves that are:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing water damage protection
facility housing the information system
master shutoff valves
list of key personnel with knowledge of location and activation procedures for master shutoff valves for the plumbing system
master shutoff valve documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for information system environmental controls
organizational personnel with information security responsibilities
Assessment: TEST
Master water-shutoff valves
organizational process for activating master water-shutoff
References: None
PE-16 DELIVERY AND REMOVAL
Parameter: pe-16_a organization-defined types of information system components
Value: organization-defined types of information system components
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization authorizes, monitors, and controls pe-16_a organization-defined types of information system components organization-defined types of information system components entering and exiting the facility and maintains records of those items. |
Supplemental guidance
Effectively enforcing authorizations for entry and exit of information system components may require restricting access to delivery areas and possibly isolating the areas from the information system and media libraries.
cf CM-3
cf MA-2
cf MA-3
cf MP-5
cf #sa.12
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing delivery and removal of information system components from the facility
security plan
facility housing the information system
records of items entering and exiting the facility
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibilities for controlling information system components entering and exiting the facility
organizational personnel with information security responsibilities
Assessment: TEST
Organizational process for authorizing, monitoring, and controlling information system-related items entering and exiting the facility
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling information system-related items entering and exiting the facility
References: None
PE-17 ALTERNATE WORK SITE
Parameter: pe-17_a organization-defined security controls
Value: organization-defined security controls
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Alternate work sites may include, for example, government facilities or private residences of employees. While commonly distinct from alternative processing sites, alternate work sites may provide readily available alternate locations as part of contingency operations. Organizations may define different sets of security controls for specific alternate work sites or types of sites depending on the work-related activities conducted at those sites. This control supports the contingency planning activities of organizations and the federal telework initiative.
cf AC-17
cf CP-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Physical and environmental protection policy
procedures addressing alternate work sites for organizational personnel
security plan
list of security controls required for alternate work sites
assessments of security controls at alternate work sites
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel approving use of alternate work sites
organizational personnel using alternate work sites
organizational personnel assessing controls at alternate work sites
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security at alternate work sites
automated mechanisms supporting alternate work sites
security controls employed at alternate work sites
means of communications between personnel at alternate work sites and security personnel
References
NIST Special Publication 800-46
PLANNING
PL-1 SECURITY PLANNING POLICY AND PROCEDURES
Parameter: pl-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: pl-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: pl-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PL family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Planning policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with planning responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-18
NIST Special Publication 800-100
PL-2 SYSTEM SECURITY PLAN
Parameter: pl-2_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: pl-2_b organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Security plans relate security requirements to a set of security controls and control enhancements. Security plans also describe, at a high level, how the security controls and control enhancements meet those security requirements, but do not provide detailed, technical descriptions of the specific design or implementation of the controls/enhancements. Security plans contain sufficient information (including the specification of parameter values for assignment and selection statements either explicitly or by reference) to enable a design and implementation that is unambiguously compliant with the intent of the plans and subsequent determinations of risk to organizational operations and assets, individuals, other organizations, and the Nation if the plan is implemented as intended. Organizations can also apply tailoring guidance to the security control baselines in Appendix D and CNSS Instruction 1253 to develop overlays for community-wide use or to address specialized requirements, technologies, or missions/environments of operation (e.g., DoD-tactical, Federal Public Key Infrastructure, or Federal Identity, Credential, and Access Management, space operations). Appendix I provides guidance on developing overlays. Security plans need not be single documents; the plans can be a collection of various documents including documents that already exist. Effective security plans make extensive use of references to policies, procedures, and additional documents (e.g., design and implementation specifications) where more detailed information can be obtained. This reduces the documentation requirements associated with security programs and maintains security-related information in other established management/operational areas related to enterprise architecture, system development life cycle, systems engineering, and acquisition. For example, security plans do not contain detailed contingency plan or incident response plan information but instead provide explicitly or by reference, sufficient information to define what needs to be accomplished by those plans.
cf AC-2
cf AC-6
cf AC-14
cf AC-17
cf AC-20
cf CA-2
cf CA-3
cf CA-7
cf CM-9
cf CP-2
cf IR-8
cf MA-4
cf MA-5
cf MP-2
cf MP-4
cf MP-5
cf #pl.7
cf #pm.1
cf #pm.7
cf #pm.8
cf #pm.9
cf #pm.11
cf SA-5
cf #sa.17
PL-2 (3) PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES
Parameter: pl-2_c organization-defined individuals or groups
Value: organization-defined individuals or groups
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization plans and coordinates security-related activities affecting the information system with pl-2_c organization-defined individuals or groups organization-defined individuals or groups before conducting such activities in order to reduce the impact on other organizational entities. |
Supplemental guidance
Security-related activities include, for example, security assessments, audits, hardware and software maintenance, patch management, and contingency plan testing. Advance planning and coordination includes emergency and nonemergency (i.e., planned or nonurgent unplanned) situations. The process defined by organizations to plan and coordinate security-related activities can be included in security plans for information systems or other documents, as appropriate.
cf CP-4
cf IR-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
access control policy
contingency planning policy
procedures addressing security-related activity planning for the information system
security plan for the information system
contingency plan for the information system
information system design documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational individuals or groups with whom security-related activities are to be planned and coordinated
organizational personnel with information security responsibilities
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing security plan development and implementation
procedures addressing security plan reviews and updates
enterprise architecture documentation
security plan for the information system
records of security plan reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security plan development/review/update/approval
automated mechanisms supporting the information system security plan
References
NIST Special Publication 800-18
PL-4 RULES OF BEHAVIOR
Parameter: pl-4_a organization-defined frequency
Value: organization-defined frequency
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control enhancement applies to organizational users. Organizations consider rules of behavior based on individual user roles and responsibilities, differentiating, for example, between rules that apply to privileged users and rules that apply to general users. Establishing rules of behavior for some types of non-organizational users including, for example, individuals who simply receive data/information from federal information systems, is often not feasible given the large number of such users and the limited nature of their interactions with the systems. Rules of behavior for both organizational and non-organizational users can also be established in AC-8, System Use Notification. PL-4 b. (the signed acknowledgment portion of this control) may be satisfied by the security awareness training and role-based security training programs conducted by organizations if such training includes rules of behavior. Organizations can use electronic signatures for acknowledging rules of behavior.
cf AC-2
cf AC-6
cf AC-8
cf #ac.9
cf AC-17
cf AC-18
cf AC-19
cf AC-20
cf AT-2
cf AT-3
cf CM-11
cf IA-2
cf IA-4
cf IA-5
cf MP-7
cf PS-6
cf PS-8
cf SA-5
PL-4 (1) SOCIAL MEDIA AND NETWORKING RESTRICTIONS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization includes in the rules of behavior, explicit restrictions on the use of social media/networking sites and posting organizational information on public websites. |
Supplemental guidance
This control enhancement addresses rules of behavior related to the use of social media/networking sites: (i) when organizational personnel are using such sites for official duties or in the conduct of official business; (ii) when organizational information is involved in social media/networking transactions; and (iii) when personnel are accessing social media/networking sites from organizational information systems. Organizations also address specific rules that prevent unauthorized entities from obtaining and/or inferring non-public organizational information (e.g., system account information, personally identifiable information) from social media/networking sites.
Objectives
|
Determine if the organization includes the following in the rules of behavior:
|
Assessment: EXAMINE
Security planning policy
procedures addressing rules of behavior for information system users
rules of behavior
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
organizational personnel who are authorized users of the information system and have signed rules of behavior
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for establishing rules of behavior
automated mechanisms supporting and/or implementing the establishment of rules of behavior
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing rules of behavior for information system users
rules of behavior
signed acknowledgements
records for rules of behavior reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for establishing, reviewing, and updating rules of behavior
organizational personnel who are authorized users of the information system and have signed and resigned rules of behavior
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for establishing, reviewing, disseminating, and updating rules of behavior
automated mechanisms supporting and/or implementing the establishment, review, dissemination, and update of rules of behavior
References
NIST Special Publication 800-18
PL-8 INFORMATION SECURITY ARCHITECTURE
Parameter: pl-8_a organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses actions taken by organizations in the design and development of information systems. The information security architecture at the individual information system level is consistent with and complements the more global, organization-wide information security architecture described in PM-7 that is integral to and developed as part of the enterprise architecture. The information security architecture includes an architectural description, the placement/allocation of security functionality (including security controls), security-related information for external interfaces, information being exchanged across the interfaces, and the protection mechanisms associated with each interface. In addition, the security architecture can include other important security-related information, for example, user roles and access privileges assigned to each role, unique security requirements, the types of information processed, stored, and transmitted by the information system, restoration priorities of information and information system services, and any other specific protection needs. In today�s modern architecture, it is becoming less common for organizations to control all information resources. There are going to be key dependencies on external information services and service providers. Describing such dependencies in the information security architecture is important to developing a comprehensive mission/business protection strategy. Establishing, developing, documenting, and maintaining under configuration control, a baseline configuration for organizational information systems is critical to implementing and maintaining an effective information security architecture. The development of the information security architecture is coordinated with the Senior Agency Official for Privacy (SAOP)/Chief Privacy Officer (CPO) to ensure that security controls needed to support privacy requirements are identified and effectively implemented. PL-8 is primarily directed at organizations (i.e., internally focused) to help ensure that organizations develop an information security architecture for the information system, and that the security architecture is integrated with or tightly coupled to the enterprise architecture through the organization-wide information security architecture. In contrast, SA-17 is primarily directed at external information technology product/system developers and integrators (although SA-17 could be used internally within organizations for in-house system development). SA-17, which is complementary to PL-8, is selected when organizations outsource the development of information systems or information system components to external entities, and there is a need to demonstrate/show consistency with the organization�s enterprise architecture and information security architecture.
cf CM-2
cf CM-6
cf PL-2
cf #pm.7
cf SA-5
cf #sa.17
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Security planning policy
procedures addressing information security architecture development
procedures addressing information security architecture reviews and updates
enterprise architecture documentation
information security architecture documentation
security plan for the information system
security CONOPS for the information system
records of information security architecture reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security planning and plan implementation responsibilities
organizational personnel with information security architecture development responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for developing, reviewing, and updating the information security architecture
automated mechanisms supporting and/or implementing the development, review, and update of the information security architecture
References: None
PERSONNEL SECURITY
PS-1 PERSONNEL SECURITY POLICY AND PROCEDURES
Parameter: ps-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ps-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: ps-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the PS family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with access control responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
PS-2 POSITION RISK DESIGNATION
Parameter: ps-2_a organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Position risk designations reflect Office of Personnel Management policy and guidance. Risk designations can guide and inform the types of authorizations individuals receive when accessing organizational information and information systems. Position screening criteria include explicit information security role appointment requirements (e.g., training, security clearances).
cf AT-3
cf PL-2
cf PS-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing position categorization
appropriate codes of federal regulations
list of risk designations for organizational positions
security plan
records of position risk designation reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for assigning, reviewing, and updating position risk designations
organizational processes for establishing screening criteria
References
5 C.F.R. 731.106
PS-3 PERSONNEL SCREENING
Parameter: ps-3_a organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening
Value: organization-defined conditions requiring rescreening and, where rescreening is so indicated, the frequency of such rescreening
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Personnel screening and rescreening activities reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, guidance, and specific criteria established for the risk designations of assigned positions. Organizations may define different rescreening conditions and frequencies for personnel accessing information systems based on types of information processed, stored, or transmitted by the systems.
cf AC-2
cf IA-4
cf PE-2
cf PS-2
PS-3 (3) INFORMATION WITH SPECIAL PROTECTION MEASURES
Parameter: ps-3_b organization-defined additional personnel screening criteria
Value: organization-defined additional personnel screening criteria
Control
|
The organization ensures that individuals accessing an information system processing, storing, or transmitting information requiring special protection:
|
Supplemental guidance
Organizational information requiring special protection includes, for example, Controlled Unclassified Information (CUI) and Sources and Methods Information (SAMI). Personnel security criteria include, for example, position sensitivity background screening requirements.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
access control policy, procedures addressing personnel screening
records of screened personnel
screening criteria
records of access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for ensuring valid access authorizations for information requiring special protection
organizational process for additional personnel screening for information requiring special protection
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel screening
records of screened personnel
security plan
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for personnel screening
References
5 C.F.R. 731.106
FIPS Publication 199
FIPS Publication 201
NIST Special Publication 800-60
NIST Special Publication 800-73
NIST Special Publication 800-76
NIST Special Publication 800-78
ICD 704
PS-4 PERSONNEL TERMINATION
Parameter: ps-4_a organization-defined time period
Value: organization-defined time period
Parameter: ps-4_b organization-defined information security topics
Value: organization-defined information security topics
Parameter: ps-4_c organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ps-4_d organization-defined time period
Value: organization-defined time period
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization, upon termination of individual employment:
|
Supplemental guidance
Information system-related property includes, for example, hardware authentication tokens, system administration technical manuals, keys, identification cards, and building passes. Exit interviews ensure that terminated individuals understand the security constraints imposed by being former employees and that proper accountability is achieved for information system-related property. Security topics of interest at exit interviews can include, for example, reminding terminated individuals of nondisclosure agreements and potential limitations on future employment. Exit interviews may not be possible for some terminated individuals, for example, in cases related to job abandonment, illnesses, and nonavailability of supervisors. Exit interviews are important for individuals with security clearances. Timely execution of termination actions is essential for individuals terminated for cause. In certain situations, organizations consider disabling the information system accounts of individuals that are being terminated prior to the individuals being notified.
cf AC-2
cf IA-4
cf PE-2
cf PS-5
cf PS-6
Objectives
|
Determine if the organization, upon termination of individual employment,:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel termination
records of personnel termination actions
list of information system accounts
records of terminated or revoked authenticators/credentials
records of exit interviews
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for personnel termination
automated mechanisms supporting and/or implementing personnel termination notifications
automated mechanisms for disabling information system access/revoking authenticators
References: None
PS-5 PERSONNEL TRANSFER
Parameter: ps-5_a organization-defined transfer or reassignment actions
Value: organization-defined transfer or reassignment actions
Parameter: ps-5_b organization-defined time period following the formal transfer action
Value: organization-defined time period following the formal transfer action
Parameter: ps-5_c organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ps-5_d organization-defined time period
Value: organization-defined time period
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control applies when reassignments or transfers of individuals are permanent or of such extended durations as to make the actions warranted. Organizations define actions appropriate for the types of reassignments or transfers, whether permanent or extended. Actions that may be required for personnel transfers or reassignments to other positions within organizations include, for example: (i) returning old and issuing new keys, identification cards, and building passes; (ii) closing information system accounts and establishing new accounts; (iii) changing information system access authorizations (i.e., privileges); and (iv) providing for access to official records to which individuals had access at previous work locations and in previous information system accounts.
cf AC-2
cf IA-4
cf PE-2
cf PS-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel transfer
security plan
records of personnel transfer actions
list of information system and facility access authorizations
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities organizational personnel with account management responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for personnel transfer
automated mechanisms supporting and/or implementing personnel transfer notifications
automated mechanisms for disabling information system access/revoking authenticators
References: None
PS-6 ACCESS AGREEMENTS
Parameter: ps-6_a organization-defined frequency
Value: organization-defined frequency
Parameter: ps-6_b organization-defined frequency
Value: organization-defined frequency
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Access agreements include, for example, nondisclosure agreements, acceptable use agreements, rules of behavior, and conflict-of-interest agreements. Signed access agreements include an acknowledgement that individuals have read, understand, and agree to abide by the constraints associated with organizational information systems to which access is authorized. Organizations can use electronic signatures to acknowledge access agreements unless specifically prohibited by organizational policy.
cf PL-4
cf PS-2
cf PS-3
cf PS-4
cf PS-8
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing access agreements for organizational information and information systems
security plan
access agreements
records of access agreement reviews and updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel who have signed/resigned access agreements
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for access agreements
automated mechanisms supporting access agreements
References: None
PS-7 THIRD-PARTY PERSONNEL SECURITY
Parameter: ps-7_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ps-7_b organization-defined time period
Value: organization-defined time period
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Third-party providers include, for example, service bureaus, contractors, and other organizations providing information system development, information technology services, outsourced applications, and network and security management. Organizations explicitly include personnel security requirements in acquisition-related documents. Third-party providers may have personnel working at organizational facilities with credentials, badges, or information system privileges issued by organizations. Notifications of third-party personnel changes ensure appropriate termination of privileges and credentials. Organizations define the transfers and terminations deemed reportable by security-related characteristics that include, for example, functions, roles, and nature of credentials/privileges associated with individuals transferred or terminated.
cf PS-2
cf PS-3
cf PS-4
cf PS-5
cf PS-6
cf SA-9
cf #sa.21
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing third-party personnel security
list of personnel security requirements
acquisition documents
service-level agreements
compliance monitoring process
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
third-party providers
system/network administrators
organizational personnel with account management responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for managing and monitoring third-party personnel security
automated mechanisms supporting and/or implementing monitoring of provider compliance
References
NIST Special Publication 800-35
PS-8 PERSONNEL SANCTIONS
Parameter: ps-8_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ps-8_b organization-defined time period
Value: organization-defined time period
priority: P3
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Organizational sanctions processes reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Sanctions processes are described in access agreements and can be included as part of general personnel policies and procedures for organizations. Organizations consult with the Office of the General Counsel regarding matters of employee sanctions.
cf PL-4
cf PS-6
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Personnel security policy
procedures addressing personnel sanctions
rules of behavior
records of formal sanctions
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with personnel security responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for managing personnel sanctions
automated mechanisms supporting and/or implementing notifications
References: None
RISK ASSESSMENT
RA-1 RISK ASSESSMENT POLICY AND PROCEDURES
Parameter: ra-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ra-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: ra-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the RA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
risk assessment policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with risk assessment responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-30
NIST Special Publication 800-100
RA-2 SECURITY CATEGORIZATION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Clearly defined authorization boundaries are a prerequisite for effective security categorization decisions. Security categories describe the potential adverse impacts to organizational operations, organizational assets, and individuals if organizational information and information systems are comprised through a loss of confidentiality, integrity, or availability. Organizations conduct the security categorization process as an organization-wide activity with the involvement of chief information officers, senior information security officers, information system owners, mission/business owners, and information owners/stewards. Organizations also consider the potential adverse impacts to other organizations and, in accordance with the USA PATRIOT Act of 2001 and Homeland Security Presidential Directives, potential national-level adverse impacts. Security categorization processes carried out by organizations facilitate the development of inventories of information assets, and along with CM-8, mappings to specific information system components where information is processed, stored, or transmitted.
cf CM-8
cf MP-4
cf RA-3
cf SC-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Risk assessment policy
security planning policy and procedures
procedures addressing security categorization of organizational information and information systems
security plan
security categorization documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security categorization and risk assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for security categorization
References
FIPS Publication 199
NIST Special Publication 800-30
NIST Special Publication 800-39
NIST Special Publication 800-60
RA-3 RISK ASSESSMENT
Parameter: ra-3_a organization-defined document
Value: organization-defined document
Parameter: ra-3_b organization-defined frequency
Value: organization-defined frequency
Parameter: ra-3_c organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: ra-3_d organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Clearly defined authorization boundaries are a prerequisite for effective risk assessments. Risk assessments take into account threats, vulnerabilities, likelihood, and impact to organizational operations and assets, individuals, other organizations, and the Nation based on the operation and use of information systems. Risk assessments also take into account risk from external parties (e.g., service providers, contractors operating information systems on behalf of the organization, individuals accessing organizational information systems, outsourcing entities). In accordance with OMB policy and related E-authentication initiatives, authentication of public users accessing federal information systems may also be required to protect nonpublic or privacy-related information. As such, organizational assessments of risk also address public access to federal information systems. Risk assessments (either formal or informal) can be conducted at all three tiers in the risk management hierarchy (i.e., organization level, mission/business process level, or information system level) and at any phase in the system development life cycle. Risk assessments can also be conducted at various steps in the Risk Management Framework, including categorization, security control selection, security control implementation, security control assessment, information system authorization, and security control monitoring. RA-3 is noteworthy in that the control must be partially implemented prior to the implementation of other controls in order to complete the first two steps in the Risk Management Framework. Risk assessments can play an important role in security control selection processes, particularly during the application of tailoring guidance, which includes security control supplementation.
cf RA-2
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Risk assessment policy
security planning policy and procedures
procedures addressing organizational assessments of risk
security plan
risk assessment
risk assessment results
risk assessment reviews
risk assessment updates
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with risk assessment responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for risk assessment
automated mechanisms supporting and/or for conducting, documenting, reviewing, disseminating, and updating the risk assessment
References
OMB Memorandum 04-04
NIST Special Publication 800-30
NIST Special Publication 800-39
http://idmanagement.gov
RA-5 VULNERABILITY SCANNING
Parameter: ra-5_a organization-defined frequency and/or randomly in accordance with organization-defined process
Value: organization-defined frequency and/or randomly in accordance with organization-defined process
Parameter: ra-5_b organization-defined response times
Value: organization-defined response times
Parameter: ra-5_c organization-defined personnel or roles
Value: organization-defined personnel or roles
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Security categorization of information systems guides the frequency and comprehensiveness of vulnerability scans. Organizations determine the required vulnerability scanning for all information system components, ensuring that potential sources of vulnerabilities such as networked printers, scanners, and copiers are not overlooked. Vulnerability analyses for custom software applications may require additional approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Organizations can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Vulnerability scanning includes, for example: (i) scanning for patch levels; (ii) scanning for functions, ports, protocols, and services that should not be accessible to users or devices; and (iii) scanning for improperly configured or incorrectly operating information flow control mechanisms. Organizations consider using tools that express vulnerabilities in the Common Vulnerabilities and Exposures (CVE) naming convention and that use the Open Vulnerability Assessment Language (OVAL) to determine/test for the presence of vulnerabilities. Suggested sources for vulnerability information include the Common Weakness Enumeration (CWE) listing and the National Vulnerability Database (NVD). In addition, security control assessments such as red team exercises provide other sources of potential vulnerabilities for which to scan. Organizations also consider using tools that express vulnerability impact by the Common Vulnerability Scoring System (CVSS).
cf CA-2
cf CA-7
cf CM-4
cf CM-6
cf RA-2
cf RA-3
cf SA-11
cf SI-2
RA-5 (1) UPDATE TOOL CAPABILITY
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned. |
Supplemental guidance
The vulnerabilities to be scanned need to be readily updated as new vulnerabilities are discovered, announced, and scanning methods developed. This updating process helps to ensure that potential vulnerabilities in the information system are identified and addressed as quickly as possible.
cf SI-3
cf SI-7
Objective
|
Determine if the organization employs vulnerability scanning tools that include the capability to readily update the information system vulnerabilities to be scanned. |
Assessment: EXAMINE
Procedures addressing vulnerability scanning
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
References: None
RA-5 (2) UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN IDENTIFIED
Parameter: ra-5_d organization-defined frequency
Value: organization-defined frequency
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization updates the information system vulnerabilities scanned [Selection (one or more): ra-5_d organization-defined frequency organization-defined frequency ; prior to a new scan; when new vulnerabilities are identified and reported]. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Procedures addressing vulnerability scanning
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
References: None
RA-5 (3) BREADTH / DEPTH OF COVERAGE
Control
|
The organization employs vulnerability scanning procedures that can identify the breadth and depth of coverage (i.e., information system components scanned and vulnerabilities checked). |
Objectives
|
Determine if the organization employs vulnerability scanning procedures that can identify:
|
Assessment: EXAMINE
Procedures addressing vulnerability scanning
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
References: None
RA-5 (5) PRIVILEGED ACCESS
Parameter: ra-5_f organization-identified information system components
Value: organization-identified information system components
Parameter: ra-5_g organization-defined vulnerability scanning activities
Value: organization-defined vulnerability scanning activities
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements privileged access authorization to ra-5_f organization-identified information system components organization-identified information system components for selected ra-5_g organization-defined vulnerability scanning activities organization-defined vulnerability scanning activities . |
Supplemental guidance
In certain situations, the nature of the vulnerability scanning may be more intrusive or the information system component that is the subject of the scanning may contain highly sensitive information. Privileged access authorization to selected system components facilitates more thorough vulnerability scanning and also protects the sensitive nature of such scanning.
Objectives
|
Determine if:
|
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
security plan
information system design documentation
information system configuration settings and associated documentation
list of information system components for vulnerability scanning
personnel access authorization list
authorization credentials
access authorization records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
system/network administrators
organizational personnel responsible for access control to the information system
organizational personnel responsible for configuration management of the information system
system developers
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
organizational processes for access control
automated mechanisms supporting and/or implementing access control
automated mechanisms/tools supporting and/or implementing vulnerability scanning
References: None
RA-5 (6) AUTOMATED TREND ANALYSES
Control
|
The organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities. |
Objective
|
Determine if the organization employs automated mechanisms to compare the results of vulnerability scans over time to determine trends in information system vulnerabilities. |
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
information system design documentation
vulnerability scanning tools and techniques documentation
vulnerability scanning results
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
automated mechanisms/tools supporting and/or implementing vulnerability scanning
automated mechanisms supporting and/or implementing trend analysis of vulnerability scan results
References: None
RA-5 (8) REVIEW HISTORIC AUDIT LOGS
Control
|
The organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. |
Supplemental guidance
cf AU-6
Objective
|
Determine if the organization reviews historic audit logs to determine if a vulnerability identified in the information system has been previously exploited. |
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
audit logs
records of audit log reviews
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with audit record review responsibilities
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for vulnerability scanning
organizational process for audit record review and response
automated mechanisms/tools supporting and/or implementing vulnerability scanning
automated mechanisms supporting and/or implementing audit record review
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Risk assessment policy
procedures addressing vulnerability scanning
risk assessment
security plan
security assessment report
vulnerability scanning tools and associated configuration documentation
vulnerability scanning results
patch and vulnerability management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with risk assessment, security control assessment and vulnerability scanning responsibilities
organizational personnel with vulnerability scan analysis responsibilities
organizational personnel with vulnerability remediation responsibilities
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for vulnerability scanning, analysis, remediation, and information sharing
automated mechanisms supporting and/or implementing vulnerability scanning, analysis, remediation, and information sharing
References
NIST Special Publication 800-40
NIST Special Publication 800-70
NIST Special Publication 800-115
http://cwe.mitre.org
http://nvd.nist.gov
SYSTEM AND SERVICES ACQUISITION
SA-1 SYSTEM AND SERVICES ACQUISITION POLICY AND PROCEDURES
Parameter: sa-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: sa-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: sa-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SA family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
SA-2 ALLOCATION OF RESOURCES
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Resource allocation for information security includes funding for the initial information system or information system service acquisition and funding for the sustainment of the system/service.
cf #pm.3
cf #pm.11
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the allocation of resources to information security requirements
procedures addressing capital planning and investment control
organizational programming and budgeting documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with capital planning, investment control, organizational programming and budgeting responsibilities
organizational personnel responsible for determining information security requirements for information systems/services
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining information security requirements
organizational processes for capital planning, programming, and budgeting
automated mechanisms supporting and/or implementing organizational capital planning, programming, and budgeting
References
NIST Special Publication 800-65
SA-3 SYSTEM DEVELOPMENT LIFE CYCLE
Parameter: sa-3_a organization-defined system development life cycle
Value: organization-defined system development life cycle
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
A well-defined system development life cycle provides the foundation for the successful development, implementation, and operation of organizational information systems. To apply the required security controls within the system development life cycle requires a basic understanding of information security, threats, vulnerabilities, adverse impacts, and risk to critical missions/business functions. The security engineering principles in SA-8 cannot be properly applied if individuals that design, code, and test information systems and system components (including information technology products) do not understand security. Therefore, organizations include qualified personnel, for example, chief information security officers, security architects, security engineers, and information system security officers in system development life cycle activities to ensure that security requirements are incorporated into organizational information systems. It is equally important that developers include individuals on the development team that possess the requisite security expertise and skills to ensure that needed security capabilities are effectively integrated into the information system. Security awareness and training programs can help ensure that individuals having key security roles and responsibilities have the appropriate experience, skills, and expertise to conduct assigned system development life cycle activities. The effective integration of security requirements into enterprise architecture also helps to ensure that important security considerations are addressed early in the system development life cycle and that those considerations are directly related to the organizational mission/business processes. This process also facilitates the integration of the information security architecture into the enterprise architecture, consistent with organizational risk management and information security strategies.
cf AT-3
cf #pm.7
cf SA-8
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security into the system development life cycle process
information system development life cycle documentation
information security risk management strategy/program documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with information security and system life cycle development responsibilities
organizational personnel with information security risk management responsibilities
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for defining and documenting the SDLC
organizational processes for identifying SDLC roles and responsibilities
organizational process for integrating information security risk management into the SDLC
automated mechanisms supporting and/or implementing the SDLC
References
NIST Special Publication 800-37
NIST Special Publication 800-64
SA-4 ACQUISITION PROCESS
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contract for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
|
Supplemental guidance
Information system components are discrete, identifiable information technology assets (e.g., hardware, software, or firmware) that represent the building blocks of an information system. Information system components include commercial information technology products. Security functional requirements include security capabilities, security functions, and security mechanisms. Security strength requirements associated with such capabilities, functions, and mechanisms include degree of correctness, completeness, resistance to direct attack, and resistance to tampering or bypass. Security assurance requirements include: (i) development processes, procedures, practices, and methodologies; and (ii) evidence from development and assessment activities providing grounds for confidence that the required security functionality has been implemented and the required security strength has been achieved. Security documentation requirements address all phases of the system development life cycle. Security functionality, assurance, and documentation requirements are expressed in terms of security controls and control enhancements that have been selected through the tailoring process. The security control tailoring process includes, for example, the specification of parameter values through the use of assignment and selection statements and the specification of platform dependencies and implementation information. Security documentation provides user and administrator guidance regarding the implementation and operation of security controls. The level of detail required in security documentation is based on the security category or classification level of the information system and the degree to which organizations depend on the stated security capability, functions, or mechanisms to meet overall risk response expectations (as defined in the organizational risk management strategy). Security requirements can also include organizationally mandated configuration settings specifying allowed functions, ports, protocols, and services. Acceptance criteria for information systems, information system components, and information system services are defined in the same manner as such criteria for any organizational acquisition or procurement. The Federal Acquisition Regulation (FAR) Section 7.103 contains information security requirements from FISMA.
cf CM-6
cf PL-2
cf PS-7
cf SA-3
cf SA-5
cf SA-8
cf SA-11
cf #sa.12
SA-4 (1) FUNCTIONAL PROPERTIES OF SECURITY CONTROLS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed. |
Supplemental guidance
Functional properties of security controls describe the functionality (i.e., security capability, functions, or mechanisms) visible at the interfaces of the controls and specifically exclude functionality and data structures internal to the operation of the controls.
cf SA-5
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to provide a description of the functional properties of the security controls to be employed. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system component, or information system services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security functional requirements
information system developer or service provider
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining information system security functional, requirements
organizational processes for developing acquisition contracts
automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
References: None
SA-4 (2) DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY CONTROLS
Parameter: sa-4_a organization-defined design/implementation information
Value: organization-defined design/implementation information
Parameter: sa-4_b organization-defined level of detail
Value: organization-defined level of detail
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires the developer of the information system, system component, or information system service to provide design and implementation information for the security controls to be employed that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; low-level design; source code or hardware schematics; sa-4_a organization-defined design/implementation information organization-defined design/implementation information ] at sa-4_b organization-defined level of detail organization-defined level of detail . |
Supplemental guidance
Organizations may require different levels of detail in design and implementation documentation for security controls employed in organizational information systems, system components, or information system services based on mission/business requirements, requirements for trustworthiness/resiliency, and requirements for analysis and testing. Information systems can be partitioned into multiple subsystems. Each subsystem within the system can contain one or more modules. The high-level design for the system is expressed in terms of multiple subsystems and the interfaces between subsystems providing security-relevant functionality. The low-level design for the system is expressed in terms of modules with particular emphasis on software and firmware (but not excluding hardware) and the interfaces between modules providing security-relevant functionality. Source code and hardware schematics are typically referred to as the implementation representation of the information system.
cf SA-5
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documents
acquisition documentation
acquisition contracts for the information system, system components, or information system services
design and implementation information for security controls employed in the information system, system component, or information system service
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
information system developer or service provider
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining level of detail for system design and security controls
organizational processes for developing acquisition contracts
automated mechanisms supporting and/or implementing development of system design details
References: None
SA-4 (8) CONTINUOUS MONITORING PLAN
Parameter: sa-4_e organization-defined level of detail
Value: organization-defined level of detail
Control
|
The organization requires the developer of the information system, system component, or information system service to produce a plan for the continuous monitoring of security control effectiveness that contains sa-4_e organization-defined level of detail organization-defined level of detail . |
Supplemental guidance
The objective of continuous monitoring plans is to determine if the complete set of planned, required, and deployed security controls within the information system, system component, or information system service continue to be effective over time based on the inevitable changes that occur. Developer continuous monitoring plans include a sufficient level of detail such that the information can be incorporated into the continuous monitoring strategies and programs implemented by organizations.
cf CA-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing developer continuous monitoring plans
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
developer continuous monitoring plans
security assessment plans
acquisition contracts for the information system, system component, or information system service
acquisition documentation
solicitation documentation
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
information system developers
organizational personnel with information security responsibilities
Assessment: TEST
Vendor processes for continuous monitoring
automated mechanisms supporting and/or implementing developer continuous monitoring
References: None
SA-4 (9) FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle, the functions, ports, protocols, and services intended for organizational use. |
Supplemental guidance
The identification of functions, ports, protocols, and services early in the system development life cycle (e.g., during the initial requirements definition and design phases) allows organizations to influence the design of the information system, information system component, or information system service. This early involvement in the life cycle helps organizations to avoid or minimize the use of functions, ports, protocols, or services that pose unnecessarily high risks and understand the trade-offs involved in blocking specific ports, protocols, or services (or when requiring information system service providers to do so). Early identification of functions, ports, protocols, and services avoids costly retrofitting of security controls after the information system, system component, or information system service has been implemented. SA-9 describes requirements for external information system services with organizations identifying which functions, ports, protocols, and services are provided from external sources.
cf CM-7
cf SA-9
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to identify early in the system development life cycle:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
information system design documentation
information system documentation including functions, ports, protocols, and services intended for organizational use
acquisition contracts for information systems or services
acquisition documentation
solicitation documentation
service-level agreements
organizational security requirements, descriptions, and criteria for developers of information systems, system components, and information system services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
system/network administrators
organizational personnel operating, using, and/or maintaining the information system
information system developers
organizational personnel with information security responsibilities
References: None
SA-4 (10) USE OF APPROVED PIV PRODUCTS
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems. |
Objective
|
Determine if the organization employs only information technology products on the FIPS 201-approved products list for Personal Identity Verification (PIV) capability implemented within organizational information systems. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
solicitation documentation
acquisition documentation
acquisition contracts for the information system, system component, or information system service
service-level agreements
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
organizational personnel with responsibility for ensuring only FIPS 201-approved products are implemented
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for selecting and employing FIPS 201-approved products
References: None
Objectives
|
Determine if the organization includes the following requirements, descriptions, and criteria, explicitly or by reference, in the acquisition contracts for the information system, system component, or information system service in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, guidelines, and organizational mission/business needs:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing the integration of information security requirements, descriptions, and criteria into the acquisition process
acquisition contracts for the information system, system component, or information system service
information system design documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security functional, strength, and assurance requirements
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for determining information system security functional, strength, and assurance requirements
organizational processes for developing acquisition contracts
automated mechanisms supporting and/or implementing acquisitions and inclusion of security requirements in contracts
References
HSPD-12
ISO/IEC 15408
FIPS Publication 140-2
FIPS Publication 201
NIST Special Publication 800-23
NIST Special Publication 800-35
NIST Special Publication 800-36
NIST Special Publication 800-37
NIST Special Publication 800-64
NIST Special Publication 800-70
NIST Special Publication 800-137
Federal Acquisition Regulation
http://www.niap-ccevs.org
http://fips201ep.cio.gov
http://www.acquisition.gov/far
SA-5 INFORMATION SYSTEM DOCUMENTATION
Parameter: sa-5_a organization-defined actions
Value: organization-defined actions
Parameter: sa-5_b organization-defined personnel or roles
Value: organization-defined personnel or roles
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control helps organizational personnel understand the implementation and operation of security controls associated with information systems, system components, and information system services. Organizations consider establishing specific measures to determine the quality/completeness of the content provided. The inability to obtain needed documentation may occur, for example, due to the age of the information system/component or lack of support from developers and contractors. In those situations, organizations may need to recreate selected documentation if such documentation is essential to the effective implementation or operation of security controls. The level of protection provided for selected information system, component, or service documentation is commensurate with the security category or classification of the system. For example, documentation associated with a key DoD weapons system or command and control system would typically require a higher level of protection than a routine administrative system. Documentation that addresses information system vulnerabilities may also require an increased level of protection. Secure operation of the information system, includes, for example, initially starting the system and resuming secure system operation after any lapse in system operation.
cf CM-6
cf CM-8
cf PL-2
cf PL-4
cf PS-2
cf SA-3
cf SA-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing information system documentation
information system documentation including administrator and user guides
records documenting attempts to obtain unavailable or nonexistent information system documentation
list of actions to be taken in response to documented attempts to obtain information system, system component, or information system service documentation
risk management strategy documentation
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
system administrators
organizational personnel operating, using, and/or maintaining the information system
information system developers
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for obtaining, protecting, and distributing information system administrator and user documentation
References: None
SA-8 SECURITY ENGINEERING PRINCIPLES
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization applies information system security engineering principles in the specification, design, development, implementation, and modification of the information system. |
Supplemental guidance
Organizations apply security engineering principles primarily to new development information systems or systems undergoing major upgrades. For legacy systems, organizations apply security engineering principles to system upgrades and modifications to the extent feasible, given the current state of hardware, software, and firmware within those systems. Security engineering principles include, for example: (i) developing layered protections; (ii) establishing sound security policy, architecture, and controls as the foundation for design; (iii) incorporating security requirements into the system development life cycle; (iv) delineating physical and logical security boundaries; (v) ensuring that system developers are trained on how to build secure software; (vi) tailoring security controls to meet organizational and operational needs; (vii) performing threat modeling to identify use cases, threat agents, attack vectors, and attack patterns as well as compensating controls and design patterns needed to mitigate risk; and (viii) reducing risk to acceptable levels, thus enabling informed risk management decisions.
cf #pm.7
cf SA-3
cf SA-4
cf #sa.17
cf SC-2
cf #sc.3
Objectives
|
Determine if the organization applies information system security engineering principles in:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing security engineering principles used in the specification, design, development, implementation, and modification of the information system
information system design documentation
information security requirements and specifications for the information system
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with acquisition/contracting responsibilities
organizational personnel with responsibility for determining information system security requirements
organizational personnel with information system specification, design, development, implementation, and modification responsibilities
information system developers
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for applying security engineering principles in information system specification, design, development, implementation, and modification
automated mechanisms supporting the application of security engineering principles in information system specification, design, development, implementation, and modification
References
NIST Special Publication 800-27
SA-9 EXTERNAL INFORMATION SYSTEM SERVICES
Parameter: sa-9_a organization-defined security controls
Value: organization-defined security controls
Parameter: sa-9_b organization-defined processes, methods, and techniques
Value: organization-defined processes, methods, and techniques
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
External information system services are services that are implemented outside of the authorization boundaries of organizational information systems. This includes services that are used by, but not a part of, organizational information systems. FISMA and OMB policy require that organizations using external service providers that are processing, storing, or transmitting federal information or operating information systems on behalf of the federal government ensure that such providers meet the same security requirements that federal agencies are required to meet. Organizations establish relationships with external service providers in a variety of ways including, for example, through joint ventures, business partnerships, contracts, interagency agreements, lines of business arrangements, licensing agreements, and supply chain exchanges. The responsibility for managing risks from the use of external information system services remains with authorizing officials. For services external to organizations, a chain of trust requires that organizations establish and retain a level of confidence that each participating provider in the potentially complex consumer-provider relationship provides adequate protection for the services rendered. The extent and nature of this chain of trust varies based on the relationships between organizations and the external providers. Organizations document the basis for trust relationships so the relationships can be monitored over time. External information system services documentation includes government, service providers, end user security roles and responsibilities, and service-level agreements. Service-level agreements define expectations of performance for security controls, describe measurable outcomes, and identify remedies and response requirements for identified instances of noncompliance.
cf CA-3
cf IR-7
cf PS-7
SA-9 (1) RISK ASSESSMENTS / ORGANIZATIONAL APPROVALS
Parameter: sa-9_c organization-defined personnel or roles
Value: organization-defined personnel or roles
Control
|
The organization:
|
Supplemental guidance
Dedicated information security services include, for example, incident monitoring, analysis and response, operation of information security-related devices such as firewalls, or key management services.
cf CA-6
cf RA-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition documentation
acquisition contracts for the information system, system component, or information system service
risk assessment reports
approval records for acquisition or outsourcing of dedicated information security services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information system security responsibilities
external providers of information system services
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for conducting a risk assessment prior to acquiring or outsourcing dedicated information security services
organizational processes for approving the outsourcing of dedicated information security services
automated mechanisms supporting and/or implementing risk assessment
automated mechanisms supporting and/or implementing approval processes
References: None
SA-9 (2) IDENTIFICATION OF FUNCTIONS / PORTS / PROTOCOLS / SERVICES
Parameter: sa-9_d organization-defined external information system services
Value: organization-defined external information system services
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires providers of sa-9_d organization-defined external information system services organization-defined external information system services to identify the functions, ports, protocols, and other services required for the use of such services. |
Supplemental guidance
Information from external service providers regarding the specific functions, ports, protocols, and services used in the provision of such services can be particularly useful when the need arises to understand the trade-offs involved in restricting certain functions/services or blocking certain ports/protocols.
cf CM-7
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition contracts for the information system, system component, or information system service
acquisition documentation
solicitation documentation, service-level agreements
organizational security requirements and security specifications for external service providers
list of required functions, ports, protocols, and other services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
system/network administrators
external providers of information system services
References: None
SA-9 (4) CONSISTENT INTERESTS OF CONSUMERS AND PROVIDERS
Parameter: sa-9_f organization-defined security safeguards
Value: organization-defined security safeguards
Parameter: sa-9_g organization-defined external service providers
Value: organization-defined external service providers
Control
|
The organization employs sa-9_f organization-defined security safeguards organization-defined security safeguards to ensure that the interests of sa-9_g organization-defined external service providers organization-defined external service providers are consistent with and reflect organizational interests. |
Supplemental guidance
As organizations increasingly use external service providers, the possibility exists that the interests of the service providers may diverge from organizational interests. In such situations, simply having the correct technical, procedural, or operational safeguards in place may not be sufficient if the service providers that implement and control those safeguards are not operating in a manner consistent with the interests of the consuming organizations. Possible actions that organizations might take to address such concerns include, for example, requiring background checks for selected service provider personnel, examining ownership records, employing only trustworthy service providers (i.e., providers with which organizations have had positive experiences), and conducting periodic/unscheduled visits to service provider facilities.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition contracts for the information system, system component, or information system service
solicitation documentation
acquisition documentation
service-level agreements
organizational security requirements/safeguards for external service providers
personnel security policies for external service providers
assessments performed on external service providers
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
external providers of information system services
Assessment: TEST
Organizational processes for defining and employing safeguards to ensure consistent interests with external service providers
automated mechanisms supporting and/or implementing safeguards to ensure consistent interests with external service providers
References: None
SA-9 (5) PROCESSING, STORAGE, AND SERVICE LOCATION
Parameter: sa-9_h organization-defined locations
Value: organization-defined locations
Parameter: sa-9_i organization-defined requirements or conditions
Value: organization-defined requirements or conditions
Control
|
The organization restricts the location of [Selection (one or more): information processing; information/data; information system services] to sa-9_h organization-defined locations organization-defined locations based on sa-9_i organization-defined requirements or conditions organization-defined requirements or conditions . |
Supplemental guidance
The location of information processing, information/data storage, or information system services that are critical to organizations can have a direct impact on the ability of those organizations to successfully execute their missions/business functions. This situation exists when external providers control the location of processing, storage or services. The criteria external providers use for the selection of processing, storage, or service locations may be different from organizational criteria. For example, organizations may want to ensure that data/information storage locations are restricted to certain locations to facilitate incident response activities (e.g., forensic analyses, after-the-fact investigations) in case of information security breaches/compromises. Such incident response activities may be adversely affected by the governing laws or protocols in the locations where processing and storage occur and/or the locations from which information system services emanate.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
acquisition contracts for the information system, system component, or information system service
solicitation documentation
acquisition documentation
service-level agreements
restricted locations for information processing
information/data and/or information system services
information processing, information/data, and/or information system services to be maintained in restricted locations
organizational security requirements or conditions for external providers
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
external providers of information system services
Assessment: TEST
Organizational processes for defining requirements to restrict locations of information processing, information/data, or information services
organizational processes for ensuring the location is restricted in accordance with requirements or conditions
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing external information system services
procedures addressing methods and techniques for monitoring security control compliance by external service providers of information system services
acquisition contracts, service-level agreements
organizational security requirements and security specifications for external provider services
security control assessment evidence from external providers of information system services
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
external providers of information system services
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for monitoring security control compliance by external service providers on an ongoing basis
automated mechanisms for monitoring security control compliance by external service providers on an ongoing basis
References
NIST Special Publication 800-35
SA-10 DEVELOPER CONFIGURATION MANAGEMENT
Parameter: sa-10_a organization-defined configuration items under configuration management
Value: organization-defined configuration items under configuration management
Parameter: sa-10_b organization-defined personnel
Value: organization-defined personnel
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
This control also applies to organizations conducting internal information systems development and integration. Organizations consider the quality and completeness of the configuration management activities conducted by developers as evidence of applying effective security safeguards. Safeguards include, for example, protecting from unauthorized modification or destruction, the master copies of all material used to generate security-relevant portions of the system hardware, software, and firmware. Maintaining the integrity of changes to the information system, information system component, or information system service requires configuration control throughout the system development life cycle to track authorized changes and prevent unauthorized changes. Configuration items that are placed under configuration management (if existence/use is required by other security controls) include: the formal model; the functional, high-level, and low-level design specifications; other design data; implementation documentation; source code and hardware schematics; the running version of the object code; tools for comparing new versions of security-relevant hardware descriptions and software/firmware source code with previous versions; and test fixtures and documentation. Depending on the mission/business needs of organizations and the nature of the contractual relationships in place, developers may provide configuration management support during the operations and maintenance phases of the life cycle.
cf CM-3
cf CM-4
cf CM-9
cf #sa.12
cf SI-2
SA-10 (1) SOFTWARE / FIRMWARE INTEGRITY VERIFICATION
Control
|
The organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components. |
Supplemental guidance
This control enhancement allows organizations to detect unauthorized changes to software and firmware components through the use of tools, techniques, and/or mechanisms provided by developers. Integrity checking mechanisms can also address counterfeiting of software and firmware components. Organizations verify the integrity of software and firmware components, for example, through secure one-way hashes provided by developers. Delivered software and firmware components also include any updates to such components.
cf SI-7
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to enable integrity verification of software and firmware components. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system
system component, or information system service
system developer configuration management plan
software and firmware integrity verification records
system change authorization records
change control records
configuration management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer configuration management
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer configuration management plan
security flaw and flaw resolution tracking records
system change authorization records
change control records
configuration management records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer configuration management
automated mechanisms supporting and/or implementing the monitoring of developer configuration management
References
NIST Special Publication 800-128
SA-11 DEVELOPER SECURITY TESTING AND EVALUATION
Parameter: sa-11_a organization-defined depth and coverage
Value: organization-defined depth and coverage
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization requires the developer of the information system, system component, or information system service to:
|
Supplemental guidance
Developmental security testing/evaluation occurs at all post-design phases of the system development life cycle. Such testing/evaluation confirms that the required security controls are implemented correctly, operating as intended, enforcing the desired security policy, and meeting established security requirements. Security properties of information systems may be affected by the interconnection of system components or changes to those components. These interconnections or changes (e.g., upgrading or replacing applications and operating systems) may adversely affect previously implemented security controls. This control provides additional types of security testing/evaluation that developers can conduct to reduce or eliminate potential flaws. Testing custom software applications may require approaches such as static analysis, dynamic analysis, binary analysis, or a hybrid of the three approaches. Developers can employ these analysis approaches in a variety of tools (e.g., web-based application scanners, static analysis tools, binary analyzers) and in source code reviews. Security assessment plans provide the specific activities that developers plan to carry out including the types of analyses, testing, evaluation, and reviews of software and firmware components, the degree of rigor to be applied, and the types of artifacts produced during those processes. The depth of security testing/evaluation refers to the rigor and level of detail associated with the assessment process (e.g., black box, gray box, or white box testing). The coverage of security testing/evaluation refers to the scope (i.e., number and type) of the artifacts included in the assessment process. Contracts specify the acceptance criteria for security assessment plans, flaw remediation processes, and the evidence that the plans/processes have been diligently applied. Methods for reviewing and protecting assessment plans, evidence, and documentation are commensurate with the security category or classification level of the information system. Contracts may specify documentation protection requirements.
cf CA-2
cf CM-4
cf SA-3
cf SA-4
cf SA-5
cf SI-2
SA-11 (1) STATIC CODE ANALYSIS
Control
|
The organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis. |
Supplemental guidance
Static code analysis provides a technology and methodology for security reviews. Such analysis can be used to identify security vulnerabilities and enforce security coding practices. Static code analysis is most effective when used early in the development process, when each code change can be automatically scanned for potential weaknesses. Static analysis can provide clear remediation guidance along with defects to enable developers to fix such defects. Evidence of correct implementation of static analysis can include, for example, aggregate defect density for critical defect types, evidence that defects were inspected by developers or security professionals, and evidence that defects were fixed. An excessively high density of ignored findings (commonly referred to as ignored or false positives) indicates a potential problem with the analysis process or tool. In such cases, organizations weigh the validity of the evidence against evidence from other sources.
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to employ static code analysis tools to identify common flaws and document the results of the analysis. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
procedures addressing flaw remediation
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test plans
system developer security testing results
security flaw and remediation tracking records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
static code analysis tools
References: None
SA-11 (2) THREAT AND VULNERABILITY ANALYSES
Control
|
The organization requires the developer of the information system, system component, or information system service to perform threat and vulnerability analyses and subsequent testing/evaluation of the as-built system, component, or service. |
Supplemental guidance
Applications may deviate significantly from the functional and design specifications created during the requirements and design phases of the system development life cycle. Therefore, threat and vulnerability analyses of information systems, system components, and information system services prior to delivery are critical to the effective operation of those systems, components, and services. Threat and vulnerability analyses at this phase of the life cycle help to ensure that design or implementation changes have been accounted for, and that any new vulnerabilities created as a result of those changes have been reviewed and mitigated.
cf #pm.15
cf RA-5
Objectives
|
Determine if the organization requires the developer of the information system, system component, or information system service to perform:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test plans
records of developer security testing results for the information system, system component, or information system service
vulnerability scanning results
information system risk assessment reports
threat and vulnerability analysis reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
References: None
SA-11 (8) DYNAMIC CODE ANALYSIS
Control
|
The organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis. |
Supplemental guidance
Dynamic code analysis provides run-time verification of software programs, using tools capable of monitoring programs for memory corruption, user privilege issues, and other potential security problems. Dynamic code analysis employs run-time tools to help to ensure that security functionality performs in the manner in which it was designed. A specialized type of dynamic analysis, known as fuzz testing, induces program failures by deliberately introducing malformed or random data into software programs. Fuzz testing strategies derive from the intended use of applications and the functional and design specifications for the applications. To understand the scope of dynamic code analysis and hence the assurance provided, organizations may also consider conducting code coverage analysis (checking the degree to which the code has been tested using metrics such as percent of subroutines tested or percent of program statements called during execution of the test suite) and/or concordance analysis (checking for words that are out of place in software code such as non-English language words or derogatory terms).
Objective
|
Determine if the organization requires the developer of the information system, system component, or information system service to employ dynamic code analysis tools to identify common flaws and document the results of the analysis. |
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
procedures addressing flaw remediation
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test and evaluation plans
security test and evaluation results
security flaw and remediation tracking reports
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
organizational personnel with configuration management responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and services acquisition policy
procedures addressing system developer security testing
procedures addressing flaw remediation
solicitation documentation
acquisition documentation
service-level agreements
acquisition contracts for the information system, system component, or information system service
system developer security test plans
records of developer security testing results for the information system, system component, or information system service
security flaw and remediation tracking records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and services acquisition responsibilities
organizational personnel with information security responsibilities
organizational personnel with developer security testing responsibilities
system developers
Assessment: TEST
Organizational processes for monitoring developer security testing and evaluation
automated mechanisms supporting and/or implementing the monitoring of developer security testing and evaluation
References
ISO/IEC 15408
NIST Special Publication 800-53A
http://nvd.nist.gov
http://cwe.mitre.org
http://cve.mitre.org
http://capec.mitre.org
SYSTEM AND COMMUNICATIONS PROTECTION
SC-1 SYSTEM AND COMMUNICATIONS PROTECTION POLICY AND PROCEDURES
Parameter: sc-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: sc-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: sc-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SC family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and communications protection responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
SC-2 APPLICATION PARTITIONING
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system separates user functionality (including user interface services) from information system management functionality. |
Supplemental guidance
Information system management functionality includes, for example, functions necessary to administer databases, network components, workstations, or servers, and typically requires privileged user access. The separation of user functionality from information system management functionality is either physical or logical. Organizations implement separation of system management-related functionality from user functionality by using different computers, different central processing units, different instances of operating systems, different network addresses, virtualization techniques, or combinations of these or other methods, as appropriate. This type of separation includes, for example, web administrative interfaces that use separate authentication methods for users of any other information system resources. Separation of system and user functionality may include isolating administrative interfaces on different domains and with additional access controls.
cf SA-4
cf SA-8
cf #sc.3
Objective
|
Determine if the information system separates user functionality (including user interface services) from information system management functionality. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing application partitioning
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Separation of user functionality from information system management functionality
References: None
SC-4 INFORMATION IN SHARED RESOURCES
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system prevents unauthorized and unintended information transfer via shared system resources. |
Supplemental guidance
This control prevents information, including encrypted representations of information, produced by the actions of prior users/roles (or the actions of processes acting on behalf of prior users/roles) from being available to any current users/roles (or current processes) that obtain access to shared system resources (e.g., registers, main memory, hard disks) after those resources have been released back to information systems. The control of information in shared resources is also commonly referred to as object reuse and residual information protection. This control does not address: (i) information remanence which refers to residual representation of data that has been nominally erased or removed; (ii) covert channels (including storage and/or timing channels) where shared resources are manipulated to violate information flow restrictions; or (iii) components within information systems for which there are only single users/roles.
cf AC-3
cf AC-4
cf MP-6
Objective
|
Determine if the information system prevents unauthorized and unintended information transfer via shared system resources. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing information protection in shared system resources
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms preventing unauthorized and unintended transfer of information via shared system resources
References: None
SC-5 DENIAL OF SERVICE PROTECTION
Parameter: sc-5_a organization-defined types of denial of service attacks or references to sources for such information
Value: organization-defined types of denial of service attacks or references to sources for such information
Parameter: sc-5_b organization-defined security safeguards
Value: organization-defined security safeguards
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system protects against or limits the effects of the following types of denial of service attacks: sc-5_a organization-defined types of denial of service attacks or references to sources for such information organization-defined types of denial of service attacks or references to sources for such information by employing sc-5_b organization-defined security safeguards organization-defined security safeguards . |
Supplemental guidance
A variety of technologies exist to limit, or in some cases, eliminate the effects of denial of service attacks. For example, boundary protection devices can filter certain types of packets to protect information system components on internal organizational networks from being directly affected by denial of service attacks. Employing increased capacity and bandwidth combined with service redundancy may also reduce the susceptibility to denial of service attacks.
cf SC-6
cf SC-7
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing denial of service protection
information system design documentation
security plan
list of denial of services attacks requiring employment of security safeguards to protect against or limit effects of such attacks
list of security safeguards protecting against or limiting the effects of denial of service attacks
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with incident response responsibilities
system developer
Assessment: TEST
Automated mechanisms protecting against or limiting the effects of denial of service attacks
References: None
SC-6 RESOURCE AVAILABILITY
Parameter: sc-6_a organization-defined resources
Value: organization-defined resources
Parameter: sc-6_b organization-defined security safeguards
Value: organization-defined security safeguards
priority: P0
Control
|
The information system protects the availability of resources by allocating sc-6_a organization-defined resources organization-defined resources by [Selection (one or more); priority; quota; sc-6_b organization-defined security safeguards organization-defined security safeguards ]. |
Supplemental guidance
Priority protection helps prevent lower-priority processes from delaying or interfering with the information system servicing any higher-priority processes. Quotas prevent users or processes from obtaining more than predetermined amounts of resources. This control does not apply to information system components for which there are only single users/roles.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing prioritization of information system resources
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing resource allocation capability
safeguards employed to protect availability of resources
References: None
SC-7 BOUNDARY PROTECTION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Managed interfaces include, for example, gateways, routers, firewalls, guards, network-based malicious code analysis and virtualization systems, or encrypted tunnels implemented within a security architecture (e.g., routers protecting firewalls or application gateways residing on protected subnetworks). Subnetworks that are physically or logically separated from internal networks are referred to as demilitarized zones or DMZs. Restricting or prohibiting interfaces within organizational information systems includes, for example, restricting external web traffic to designated web servers within managed interfaces and prohibiting external traffic that appears to be spoofing internal addresses. Organizations consider the shared nature of commercial telecommunications services in the implementation of security controls associated with the use of such services. Commercial telecommunications services are commonly based on network components and consolidated management systems shared by all attached commercial customers, and may also include third party-provided access lines and other service elements. Such transmission services may represent sources of increased risk despite contract security provisions.
cf AC-4
cf AC-17
cf CA-3
cf CM-7
cf CP-8
cf IR-4
cf RA-3
cf SC-5
cf SC-13
SC-7 (3) ACCESS POINTS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization limits the number of external network connections to the information system. |
Supplemental guidance
Limiting the number of external network connections facilitates more comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet Connection (TIC) initiative is an example of limiting the number of external network connections.
Objective
|
Determine if the organization limits the number of external network connections to the information system. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
boundary protection hardware and software
information system architecture and configuration documentation
information system configuration settings and associated documentation
communications and network traffic monitoring logs
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
automated mechanisms limiting the number of external network connections to the information system
References: None
SC-7 (4) EXTERNAL TELECOMMUNICATIONS SERVICES
Parameter: sc-7_a organization-defined frequency
Value: organization-defined frequency
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
cf SC-8
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
traffic flow policy
information flow control policy
procedures addressing boundary protection
information system security architecture
information system design documentation
boundary protection hardware and software
information system architecture and configuration documentation
information system configuration settings and associated documentation
records of traffic flow policy exceptions
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Organizational processes for documenting and reviewing exceptions to the traffic flow policy
organizational processes for removing exceptions to the traffic flow policy
automated mechanisms implementing boundary protection capability
managed interfaces implementing traffic flow policy
References: None
SC-7 (5) DENY BY DEFAULT / ALLOW BY EXCEPTION
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system at managed interfaces denies network communications traffic by default and allows network communications traffic by exception (i.e., deny all, permit by exception). |
Supplemental guidance
This control enhancement applies to both inbound and outbound network communications traffic. A deny-all, permit-by-exception network communications traffic policy ensures that only those connections which are essential and approved are allowed.
Objectives
|
Determine if the information system, at managed interfaces:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing traffic management at managed interfaces
References: None
SC-7 (7) PREVENT SPLIT TUNNELING FOR REMOTE DEVICES
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks. |
Supplemental guidance
This control enhancement is implemented within remote devices (e.g., notebook computers) through configuration settings to disable split tunneling in those devices, and by preventing those configuration settings from being readily configurable by users. This control enhancement is implemented within the information system by the detection of split tunneling (or of configuration settings that allow split tunneling) in the remote device, and by prohibiting the connection if the remote device is using split tunneling. Split tunneling might be desirable by remote users to communicate with local information system resources such as printers/file servers. However, split tunneling would in effect allow unauthorized external connections, making the system more vulnerable to attack and to exfiltration of organizational information. The use of VPNs for remote connections, when adequately provisioned with appropriate security controls, may provide the organization with sufficient assurance that it can effectively treat such connections as non-remote connections from the confidentiality and integrity perspective. VPNs thus provide a means for allowing non-remote communications paths from remote devices. The use of an adequately provisioned VPN does not eliminate the need for preventing split tunneling.
Objective
|
Determine if the information system, in conjunction with a remote device, prevents the device from simultaneously establishing non-remote connections with the system and communicating via some other connection to resources in external networks. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
automated mechanisms supporting/restricting non-remote connections
References: None
SC-7 (8) ROUTE TRAFFIC TO AUTHENTICATED PROXY SERVERS
Parameter: sc-7_b organization-defined internal communications traffic
Value: organization-defined internal communications traffic
Parameter: sc-7_c organization-defined external networks
Value: organization-defined external networks
baseline-impact: HIGH
Control
|
The information system routes sc-7_b organization-defined internal communications traffic organization-defined internal communications traffic to sc-7_c organization-defined external networks organization-defined external networks through authenticated proxy servers at managed interfaces. |
Supplemental guidance
External networks are networks outside of organizational control. A proxy server is a server (i.e., information system or application) that acts as an intermediary for clients requesting information system resources (e.g., files, connections, web pages, or services) from other organizational servers. Client requests established through an initial connection to the proxy server are evaluated to manage complexity and to provide additional protection by limiting direct connectivity. Web content filtering devices are one of the most common proxy servers providing access to the Internet. Proxy servers support logging individual Transmission Control Protocol (TCP) sessions and blocking specific Uniform Resource Locators (URLs), domain names, and Internet Protocol (IP) addresses. Web proxies can be configured with organization-defined lists of authorized and unauthorized websites.
cf AC-3
cf AU-2
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing traffic management through authenticated proxy servers at managed interfaces
References: None
SC-7 (12) HOST-BASED PROTECTION
Parameter: sc-7_f organization-defined host-based boundary protection mechanisms
Value: organization-defined host-based boundary protection mechanisms
Parameter: sc-7_g organization-defined information system components
Value: organization-defined information system components
Control
|
The organization implements sc-7_f organization-defined host-based boundary protection mechanisms organization-defined host-based boundary protection mechanisms at sc-7_g organization-defined information system components organization-defined information system components . |
Supplemental guidance
Host-based boundary protection mechanisms include, for example, host-based firewalls. Information system components employing host-based boundary protection mechanisms include, for example, servers, workstations, and mobile devices.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
boundary protection hardware and software
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
information system users
Assessment: TEST
Automated mechanisms implementing host-based boundary protection capabilities
References: None
SC-7 (13) ISOLATION OF SECURITY TOOLS / MECHANISMS / SUPPORT COMPONENTS
Parameter: sc-7_h organization-defined information security tools, mechanisms, and support components
Value: organization-defined information security tools, mechanisms, and support components
Control
|
The organization isolates sc-7_h organization-defined information security tools, mechanisms, and support components organization-defined information security tools, mechanisms, and support components from other internal information system components by implementing physically separate subnetworks with managed interfaces to other components of the system. |
Supplemental guidance
Physically separate subnetworks with managed interfaces are useful, for example, in isolating computer network defenses from critical operational processing networks to prevent adversaries from discovering the analysis and forensics techniques of organizations.
cf SA-8
cf SC-2
cf #sc.3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system hardware and software
information system architecture
information system configuration settings and associated documentation
list of security tools and support components to be isolated from other internal information system components
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing isolation of information security tools, mechanisms, and support components
References: None
SC-7 (18) FAIL SECURE
baseline-impact: HIGH
Control
|
The information system fails securely in the event of an operational failure of a boundary protection device. |
Supplemental guidance
Fail secure is a condition achieved by employing information system mechanisms to ensure that in the event of operational failures of boundary protection devices at managed interfaces (e.g., routers, firewalls, guards, and application gateways residing on protected subnetworks commonly referred to as demilitarized zones), information systems do not enter into unsecure states where intended security properties no longer hold. Failures of boundary protection devices cannot lead to, or cause information external to the devices to enter the devices, nor can failures permit unauthorized information releases.
cf CP-2
cf #sc.24
Objective
|
Determine if the information system fails securely in the event of an operational failure of a boundary protection device. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
information system design documentation
information system architecture
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing secure failure
References: None
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing boundary protection
list of key internal boundaries of the information system
information system design documentation
boundary protection hardware and software
information system configuration settings and associated documentation
enterprise security architecture documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with boundary protection responsibilities
Assessment: TEST
Automated mechanisms implementing boundary protection capability
References
FIPS Publication 199
NIST Special Publication 800-41
NIST Special Publication 800-77
SC-8 TRANSMISSION CONFIDENTIALITY AND INTEGRITY
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system protects the [Selection (one or more): confidentiality; integrity] of transmitted information. |
Supplemental guidance
This control applies to both internal and external networks and all types of information system components from which information can be transmitted (e.g., servers, mobile devices, notebook computers, printers, copiers, scanners, facsimile machines). Communication paths outside the physical protection of a controlled boundary are exposed to the possibility of interception and modification. Protecting the confidentiality and/or integrity of organizational information can be accomplished by physical means (e.g., by employing protected distribution systems) or by logical means (e.g., employing encryption techniques). Organizations relying on commercial providers offering transmission services as commodity services rather than as fully dedicated services (i.e., services which can be highly specialized to individual customer needs), may find it difficult to obtain the necessary assurances regarding the implementation of needed security controls for transmission confidentiality/integrity. In such situations, organizations determine what types of confidentiality/integrity services are available in standard, commercial telecommunication service packages. If it is infeasible or impractical to obtain the necessary security controls and assurances of control effectiveness through appropriate contracting vehicles, organizations implement appropriate compensating security controls or explicitly accept the additional risk.
cf AC-17
cf PE-4
SC-8 (1) CRYPTOGRAPHIC OR ALTERNATE PHYSICAL PROTECTION
Parameter: sc-8_a organization-defined alternative physical safeguards
Value: organization-defined alternative physical safeguards
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements cryptographic mechanisms to [Selection (one or more): prevent unauthorized disclosure of information; detect changes to information] during transmission unless otherwise protected by sc-8_a organization-defined alternative physical safeguards organization-defined alternative physical safeguards . |
Supplemental guidance
Encrypting information for transmission protects information from unauthorized disclosure and modification. Cryptographic mechanisms implemented to protect information integrity include, for example, cryptographic hash functions which have common application in digital signatures, checksums, and message authentication codes. Alternative physical security safeguards include, for example, protected distribution systems.
cf SC-13
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission confidentiality and integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Cryptographic mechanisms supporting and/or implementing transmission confidentiality and/or integrity
automated mechanisms supporting and/or implementing alternative physical safeguards
organizational processes for defining and implementing alternative physical safeguards
References: None
Objectives
|
Determine if the information system protects one or more of the following:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing transmission confidentiality and integrity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing transmission confidentiality and/or integrity
References
FIPS Publication 140-2
FIPS Publication 197
NIST Special Publication 800-52
NIST Special Publication 800-77
NIST Special Publication 800-81
NIST Special Publication 800-113
CNSS Policy 15
NSTISSI No. 7003
SC-10 NETWORK DISCONNECT
Parameter: sc-10_a organization-defined time period
Value: organization-defined time period
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system terminates the network connection associated with a communications session at the end of the session or after sc-10_a organization-defined time period organization-defined time period of inactivity. |
Supplemental guidance
This control applies to both internal and external networks. Terminating network connections associated with communications sessions include, for example, de-allocating associated TCP/IP address/port pairs at the operating system level, or de-allocating networking assignments at the application level if multiple application sessions are using a single, operating system-level network connection. Time periods of inactivity may be established by organizations and include, for example, time periods by type of network access or for specific network accesses.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing network disconnect
information system design documentation
security plan
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing network disconnect capability
References: None
SC-12 CRYPTOGRAPHIC KEY ESTABLISHMENT AND MANAGEMENT
Parameter: sc-12_a organization-defined requirements for key generation, distribution, storage, access, and destruction
Value: organization-defined requirements for key generation, distribution, storage, access, and destruction
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization establishes and manages cryptographic keys for required cryptography employed within the information system in accordance with sc-12_a organization-defined requirements for key generation, distribution, storage, access, and destruction organization-defined requirements for key generation, distribution, storage, access, and destruction . |
Supplemental guidance
Cryptographic key management and establishment can be performed using manual procedures or automated mechanisms with supporting manual procedures. Organizations define key management requirements in accordance with applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance, specifying appropriate options, levels, and parameters. Organizations manage trust stores to ensure that only approved trust anchors are in such trust stores. This includes certificates with visibility external to organizational information systems and certificates related to the internal operations of systems.
cf SC-13
cf SC-17
SC-12 (2) SYMMETRIC KEYS
Control
|
The organization produces, controls, and distributes symmetric cryptographic keys using [Selection: NIST FIPS-compliant; NSA-approved] key management technology and processes. |
Objectives
|
Determine if the organization produces, controls, and distributes symmetric cryptographic keys using one of the following:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic key establishment and management
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of FIPS validated cryptographic products
list of NSA-approved cryptographic products
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for cryptographic key establishment or management
Assessment: TEST
Automated mechanisms supporting and/or implementing symmetric cryptographic key establishment and management
References: None
SC-12 (3) ASYMMETRIC KEYS
Control
|
The organization produces, controls, and distributes asymmetric cryptographic keys using [Selection: NSA-approved key management technology and processes; approved PKI Class 3 certificates or prepositioned keying material; approved PKI Class 3 or Class 4 certificates and hardware security tokens that protect the user�s private key]. |
Objectives
|
Determine if the organization produces, controls, and distributes asymmetric cryptographic keys using one of the following:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic key establishment and management
information system design documentation
information system configuration settings and associated documentation
information system audit records
list of NSA-approved cryptographic products
list of approved PKI Class 3 and Class 4 certificates
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for cryptographic key establishment or management
organizational personnel with responsibilities for PKI certificates
Assessment: TEST
Automated mechanisms supporting and/or implementing asymmetric cryptographic key establishment and management
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic key establishment and management
information system design documentation
cryptographic mechanisms
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for cryptographic key establishment and/or management
Assessment: TEST
Automated mechanisms supporting and/or implementing cryptographic key establishment and management
References
NIST Special Publication 800-56
NIST Special Publication 800-57
SC-13 CRYPTOGRAPHIC PROTECTION
Parameter: sc-13_a organization-defined cryptographic uses and type of cryptography required for each use
Value: organization-defined cryptographic uses and type of cryptography required for each use
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements sc-13_a organization-defined cryptographic uses and type of cryptography required for each use organization-defined cryptographic uses and type of cryptography required for each use in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, and standards. |
Supplemental guidance
Cryptography can be employed to support a variety of security solutions including, for example, the protection of classified and Controlled Unclassified Information, the provision of digital signatures, and the enforcement of information separation when authorized individuals have the necessary clearances for such information but lack the necessary formal access approvals. Cryptography can also be used to support random number generation and hash generation. Generally applicable cryptographic standards include FIPS-validated cryptography and NSA-approved cryptography. This control does not impose any requirements on organizations to use cryptography. However, if cryptography is required based on the selection of other security controls, organizations define each type of cryptographic use and the type of cryptography required (e.g., protection of classified information: NSA-approved cryptography; provision of digital signatures: FIPS-validated cryptography).
cf AC-2
cf AC-3
cf AC-7
cf AC-17
cf AC-18
cf AU-9
cf #au.10
cf CM-11
cf CP-9
cf IA-3
cf IA-7
cf MA-4
cf MP-2
cf MP-4
cf MP-5
cf SA-4
cf SC-8
cf SC-12
cf SC-28
cf SI-7
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing cryptographic protection
information system design documentation
information system configuration settings and associated documentation
cryptographic module validation certificates
list of FIPS validated cryptographic modules
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for cryptographic protection
Assessment: TEST
Automated mechanisms supporting and/or implementing cryptographic protection
References
FIPS Publication 140
http://csrc.nist.gov/cryptval
http://www.cnss.gov
SC-15 COLLABORATIVE COMPUTING DEVICES
Parameter: sc-15_a organization-defined exceptions where remote activation is to be allowed
Value: organization-defined exceptions where remote activation is to be allowed
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Collaborative computing devices include, for example, networked white boards, cameras, and microphones. Explicit indication of use includes, for example, signals to users when collaborative computing devices are activated.
cf AC-21
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing collaborative computing
access control policy and procedures
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
organizational personnel with responsibilities for managing collaborative computing devices
Assessment: TEST
Automated mechanisms supporting and/or implementing management of remote activation of collaborative computing devices
automated mechanisms providing an indication of use of collaborative computing devices
References: None
SC-17 PUBLIC KEY INFRASTRUCTURE CERTIFICATES
Parameter: sc-17_a organization-defined certificate policy
Value: organization-defined certificate policy
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization issues public key certificates under an sc-17_a organization-defined certificate policy organization-defined certificate policy or obtains public key certificates from an approved service provider. |
Supplemental guidance
For all certificates, organizations manage information system trust stores to ensure only approved trust anchors are in the trust stores. This control addresses both certificates with visibility external to organizational information systems and certificates related to the internal operations of systems, for example, application-specific time services.
cf SC-12
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing public key infrastructure certificates
public key certificate policy or policies
public key issuing process
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for issuing public key certificates
service providers
Assessment: TEST
Automated mechanisms supporting and/or implementing the management of public key infrastructure certificates
References
OMB Memorandum 05-24
NIST Special Publication 800-32
NIST Special Publication 800-63
SC-18 MOBILE CODE
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Decisions regarding the employment of mobile code within organizational information systems are based on the potential for the code to cause damage to the systems if used maliciously. Mobile code technologies include, for example, Java, JavaScript, ActiveX, Postscript, PDF, Shockwave movies, Flash animations, and VBScript. Usage restrictions and implementation guidance apply to both the selection and use of mobile code installed on servers and mobile code downloaded and executed on individual workstations and devices (e.g., smart phones). Mobile code policy and procedures address preventing the development, acquisition, or introduction of unacceptable mobile code within organizational information systems.
cf AU-2
cf AU-12
cf CM-2
cf CM-6
cf SI-3
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing mobile code
mobile code usage restrictions, mobile code implementation policy and procedures
list of acceptable mobile code and mobile code technologies
list of unacceptable mobile code and mobile technologies
authorization records
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing mobile code
Assessment: TEST
Organizational process for controlling, authorizing, monitoring, and restricting mobile code
automated mechanisms supporting and/or implementing the management of mobile code
automated mechanisms supporting and/or implementing the monitoring of mobile code
References
NIST Special Publication 800-28
DoD Instruction 8552.01
SC-19 VOICE OVER INTERNET PROTOCOL
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing VoIP
VoIP usage restrictions
VoIP implementation guidance
information system design documentation
information system configuration settings and associated documentation
information system monitoring records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing VoIP
Assessment: TEST
Organizational process for authorizing, monitoring, and controlling VoIP
automated mechanisms supporting and/or implementing authorizing, monitoring, and controlling VoIP
References
NIST Special Publication 800-58
SC-20 SECURE NAME / ADDRESS RESOLUTION SERVICE (AUTHORITATIVE SOURCE)
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
This control enables external clients including, for example, remote Internet clients, to obtain origin authentication and integrity verification assurances for the host/service name to network address resolution information obtained through the service. Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. Additional artifacts include, for example, DNS Security (DNSSEC) digital signatures and cryptographic keys. DNS resource records are examples of authoritative data. The means to indicate the security status of child zones includes, for example, the use of delegation signer resource records in the DNS. The DNS security controls reflect (and are referenced from) OMB Memorandum 08-23. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to assure the authenticity and integrity of response data.
cf #au.10
cf SC-8
cf SC-12
cf SC-13
cf SC-21
cf SC-22
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing secure name/address resolution service (authoritative source)
information system design documentation
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing DNS
Assessment: TEST
Automated mechanisms supporting and/or implementing secure name/address resolution service
References
OMB Memorandum 08-23
NIST Special Publication 800-81
SC-21 SECURE NAME / ADDRESS RESOLUTION SERVICE (RECURSIVE OR CACHING RESOLVER)
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system requests and performs data origin authentication and data integrity verification on the name/address resolution responses the system receives from authoritative sources. |
Supplemental guidance
Each client of name resolution services either performs this validation on its own, or has authenticated channels to trusted validation providers. Information systems that provide name and address resolution services for local clients include, for example, recursive resolving or caching domain name system (DNS) servers. DNS client resolvers either perform validation of DNSSEC signatures, or clients use authenticated channels to recursive resolvers that perform such validations. Information systems that use technologies other than the DNS to map between host/service names and network addresses provide other means to enable clients to verify the authenticity and integrity of response data.
cf SC-20
cf SC-22
Objectives
|
Determine if the information system:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing secure name/address resolution service (recursive or caching resolver)
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing DNS
Assessment: TEST
Automated mechanisms supporting and/or implementing data origin authentication and data integrity verification for name/address resolution services
References
NIST Special Publication 800-81
SC-22 ARCHITECTURE AND PROVISIONING FOR NAME / ADDRESS RESOLUTION SERVICE
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information systems that collectively provide name/address resolution service for an organization are fault-tolerant and implement internal/external role separation. |
Supplemental guidance
Information systems that provide name and address resolution services include, for example, domain name system (DNS) servers. To eliminate single points of failure and to enhance redundancy, organizations employ at least two authoritative domain name system servers, one configured as the primary server and the other configured as the secondary server. Additionally, organizations typically deploy the servers in two geographically separated network subnetworks (i.e., not located in the same physical facility). For role separation, DNS servers with internal roles only process name and address resolution requests from within organizations (i.e., from internal clients). DNS servers with external roles only process name and address resolution information requests from clients external to organizations (i.e., on external networks including the Internet). Organizations specify clients that can access authoritative DNS servers in particular roles (e.g., by address ranges, explicit lists).
cf SC-2
cf SC-20
cf SC-21
cf #sc.24
Objectives
|
Determine if the information systems that collectively provide name/address resolution service for an organization:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing architecture and provisioning for name/address resolution service
access control policy and procedures
information system design documentation
assessment results from independent, testing organizations
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel with responsibilities for managing DNS
Assessment: TEST
Automated mechanisms supporting and/or implementing name/address resolution service for fault tolerance and role separation
References
NIST Special Publication 800-81
SC-23 SESSION AUTHENTICITY
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system protects the authenticity of communications sessions. |
Supplemental guidance
This control addresses communications protection at the session, versus packet level (e.g., sessions in service-oriented architectures providing web-based services) and establishes grounds for confidence at both ends of communications sessions in ongoing identities of other parties and in the validity of information transmitted. Authenticity protection includes, for example, protecting against man-in-the-middle attacks/session hijacking and the insertion of false information into sessions.
cf SC-8
cf SC-10
cf #sc.11
Objective
|
Determine if the information system protects the authenticity of communications sessions. |
Assessment: EXAMINE
System and communications protection policy
procedures addressing session authenticity
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Automated mechanisms supporting and/or implementing session authenticity
References
NIST Special Publication 800-52
NIST Special Publication 800-77
NIST Special Publication 800-95
SC-28 PROTECTION OF INFORMATION AT REST
Parameter: sc-28_a organization-defined information at rest
Value: organization-defined information at rest
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system protects the [Selection (one or more): confidentiality; integrity] of sc-28_a organization-defined information at rest organization-defined information at rest . |
Supplemental guidance
This control addresses the confidentiality and integrity of information at rest and covers user information and system information. Information at rest refers to the state of information when it is located on storage devices as specific components of information systems. System-related information requiring protection includes, for example, configurations or rule sets for firewalls, gateways, intrusion detection/prevention systems, filtering routers, and authenticator content. Organizations may employ different mechanisms to achieve confidentiality and integrity protections, including the use of cryptographic mechanisms and file share scanning. Integrity protection can be achieved, for example, by implementing Write-Once-Read-Many (WORM) technologies. Organizations may also employ other security controls including, for example, secure off-line storage in lieu of online storage when adequate protection of information at rest cannot otherwise be achieved and/or continuous monitoring to identify malicious code at rest.
cf AC-3
cf AC-6
cf CA-7
cf CM-3
cf CM-5
cf CM-6
cf PE-3
cf SC-8
cf SC-13
cf SI-3
cf SI-7
SC-28 (1) CRYPTOGRAPHIC PROTECTION
Parameter: sc-28_b organization-defined information
Value: organization-defined information
Parameter: sc-28_c organization-defined information system components
Value: organization-defined information system components
Control
|
The information system implements cryptographic mechanisms to prevent unauthorized disclosure and modification of sc-28_b organization-defined information organization-defined information on sc-28_c organization-defined information system components organization-defined information system components . |
Supplemental guidance
Selection of cryptographic mechanisms is based on the need to protect the confidentiality and integrity of organizational information. The strength of mechanism is commensurate with the security category and/or classification of the information. This control enhancement applies to significant concentrations of digital media in organizational areas designated for media storage and also to limited quantities of media generally associated with information system components in operational environments (e.g., portable storage devices, mobile devices). Organizations have the flexibility to either encrypt all information on storage devices (i.e., full disk encryption) or encrypt specific data structures (e.g., files, records, or fields). Organizations employing cryptographic mechanisms to protect information at rest also consider cryptographic key management solutions.
cf AC-19
cf SC-12
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing protection of information at rest
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated configuration documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Cryptographic mechanisms implementing confidentiality and integrity protections for information at rest
References: None
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and communications protection policy
procedures addressing protection of information at rest
information system design documentation
information system configuration settings and associated documentation
cryptographic mechanisms and associated configuration documentation
list of information at rest requiring confidentiality and integrity protections
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing confidentiality and integrity protections for information at rest
References
NIST Special Publication 800-56
NIST Special Publication 800-57
NIST Special Publication 800-111
SC-39 PROCESS ISOLATION
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system maintains a separate execution domain for each executing process. |
Supplemental guidance
Information systems can maintain separate execution domains for each executing process by assigning each process a separate address space. Each information system process has a distinct address space so that communication between processes is performed in a manner controlled through the security functions, and one process cannot modify the executing code of another process. Maintaining separate execution domains for executing processes can be achieved, for example, by implementing separate address spaces. This capability is available in most commercial operating systems that employ multi-state processor technologies.
cf AC-3
cf AC-4
cf AC-6
cf SA-4
cf SA-5
cf SA-8
cf SC-2
cf #sc.3
Objective
|
Determine if the information system maintains a separate execution domain for each executing process. |
Assessment: EXAMINE
Information system design documentation
information system architecture
independent verification and validation documentation
testing and evaluation documentation, other relevant documents or records
Assessment: INTERVIEW
Information system developers/integrators
information system security architect
Assessment: TEST
Automated mechanisms supporting and/or implementing separate execution domains for each executing process
References: None
SYSTEM AND INFORMATION INTEGRITY
SI-1 SYSTEM AND INFORMATION INTEGRITY POLICY AND PROCEDURES
Parameter: si-1_a organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: si-1_b organization-defined frequency
Value: organization-defined frequency
Parameter: si-1_c organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
This control addresses the establishment of policy and procedures for the effective implementation of selected security controls and control enhancements in the SI family. Policy and procedures reflect applicable federal laws, Executive Orders, directives, regulations, policies, standards, and guidance. Security program policies and procedures at the organization level may make the need for system-specific policies and procedures unnecessary. The policy can be included as part of the general information security policy for organizations or conversely, can be represented by multiple policies reflecting the complex nature of certain organizations. The procedures can be established for the security program in general and for particular information systems, if needed. The organizational risk management strategy is a key factor in establishing policy and procedures.
cf #pm.9
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy and procedures
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with system and information integrity responsibilities
organizational personnel with information security responsibilities
References
NIST Special Publication 800-12
NIST Special Publication 800-100
SI-2 FLAW REMEDIATION
Parameter: si-2_a organization-defined time period
Value: organization-defined time period
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Organizations identify information systems affected by announced software flaws including potential vulnerabilities resulting from those flaws, and report this information to designated organizational personnel with information security responsibilities. Security-relevant software updates include, for example, patches, service packs, hot fixes, and anti-virus signatures. Organizations also address flaws discovered during security assessments, continuous monitoring, incident response activities, and system error handling. Organizations take advantage of available resources such as the Common Weakness Enumeration (CWE) or Common Vulnerabilities and Exposures (CVE) databases in remediating flaws discovered in organizational information systems. By incorporating flaw remediation into ongoing configuration management processes, required/anticipated remediation actions can be tracked and verified. Flaw remediation actions that can be tracked and verified include, for example, determining whether organizations follow US-CERT guidance and Information Assurance Vulnerability Alerts. Organization-defined time periods for updating security-relevant software and firmware may vary based on a variety of factors including, for example, the security category of the information system or the criticality of the update (i.e., severity of the vulnerability related to the discovered flaw). Some types of flaw remediation may require more testing than other types. Organizations determine the degree and type of testing needed for the specific type of flaw remediation activity under consideration and also the types of changes that are to be configuration-managed. In some situations, organizations may determine that the testing of software and/or firmware updates is not necessary or practical, for example, when implementing simple anti-virus signature updates. Organizations may also consider in testing decisions, whether security-relevant software or firmware updates are obtained from authorized sources with appropriate digital signatures.
cf CA-2
cf CA-7
cf CM-3
cf CM-5
cf CM-8
cf MA-2
cf IR-4
cf RA-5
cf SA-10
cf SA-11
cf SI-11
SI-2 (2) AUTOMATED FLAW REMEDIATION STATUS
Parameter: si-2_b organization-defined frequency
Value: organization-defined frequency
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs automated mechanisms si-2_b organization-defined frequency organization-defined frequency to determine the state of information system components with regard to flaw remediation. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
automated mechanisms supporting centralized management of flaw remediation
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
Assessment: TEST
Automated mechanisms used to determine the state of information system components with regard to flaw remediation
References: None
SI-2 (3) TIME TO REMEDIATE FLAWS / BENCHMARKS FOR CORRECTIVE ACTIONS
Parameter: si-2_c organization-defined benchmarks
Value: organization-defined benchmarks
Control
|
The organization:
|
Supplemental guidance
This control enhancement requires organizations to determine the current time it takes on the average to correct information system flaws after such flaws have been identified, and subsequently establish organizational benchmarks (i.e., time frames) for taking corrective actions. Benchmarks can be established by type of flaw and/or severity of the potential vulnerability if the flaw can be exploited.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
information system design documentation
information system configuration settings and associated documentation
list of benchmarks for taking corrective action on flaws identified
records providing time stamps of flaw identification and subsequent flaw remediation activities
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
Assessment: TEST
Organizational processes for identifying, reporting, and correcting information system flaws
automated mechanisms used to measure the time between flaw identification and flaw remediation
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing flaw remediation
procedures addressing configuration management
list of flaws and vulnerabilities potentially affecting the information system
list of recent security flaw remediation actions performed on the information system (e.g., list of installed patches, service packs, hot fixes, and other software updates to correct information system flaws)
test results from the installation of software and firmware updates to correct information system flaws
installation/change control records for security-relevant software and firmware updates
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for flaw remediation
organizational personnel with configuration management responsibility
Assessment: TEST
Organizational processes for identifying, reporting, and correcting information system flaws
organizational process for installing software and firmware updates
automated mechanisms supporting and/or implementing reporting, and correcting information system flaws
automated mechanisms supporting and/or implementing testing software and firmware updates
References
NIST Special Publication 800-40
NIST Special Publication 800-128
SI-3 MALICIOUS CODE PROTECTION
Parameter: si-3_a organization-defined frequency
Value: organization-defined frequency
Parameter: si-3_b organization-defined action
Value: organization-defined action
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, notebook computers, and mobile devices. Malicious code includes, for example, viruses, worms, Trojan horses, and spyware. Malicious code can also be encoded in various formats (e.g., UUENCODE, Unicode), contained within compressed or hidden files, or hidden in files using steganography. Malicious code can be transported by different means including, for example, web accesses, electronic mail, electronic mail attachments, and portable storage devices. Malicious code insertions occur through the exploitation of information system vulnerabilities. Malicious code protection mechanisms include, for example, anti-virus signature definitions and reputation-based technologies. A variety of technologies and methods exist to limit or eliminate the effects of malicious code. Pervasive configuration management and comprehensive software integrity controls may be effective in preventing execution of unauthorized code. In addition to commercial off-the-shelf software, malicious code may also be present in custom-built software. This could include, for example, logic bombs, back doors, and other types of cyber attacks that could affect organizational missions/business functions. Traditional malicious code protection mechanisms cannot always detect such code. In these situations, organizations rely instead on other safeguards including, for example, secure coding practices, configuration management and control, trusted procurement processes, and monitoring practices to help ensure that software does not perform functions other than the functions intended. Organizations may determine that in response to the detection of malicious code, different actions may be warranted. For example, organizations can define actions in response to malicious code detection during periodic scans, actions in response to detection of malicious downloads, and/or actions in response to detection of maliciousness when attempting to open or execute files.
cf CM-3
cf MP-2
cf SA-4
cf SA-8
cf #sa.12
cf #sa.13
cf SC-7
cf #sc.26
cf #sc.44
cf SI-2
cf SI-4
cf SI-7
SI-3 (1) CENTRAL MANAGEMENT
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization centrally manages malicious code protection mechanisms. |
Supplemental guidance
Central management is the organization-wide management and implementation of malicious code protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed flaw malicious code protection security controls.
cf AU-2
cf SI-8
Objective
|
Determine if the organization centrally manages malicious code protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
automated mechanisms supporting centralized management of malicious code protection mechanisms
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Organizational processes for central management of malicious code protection mechanisms
automated mechanisms supporting and/or implementing central management of malicious code protection mechanisms
References: None
SI-3 (2) AUTOMATIC UPDATES
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system automatically updates malicious code protection mechanisms. |
Supplemental guidance
Malicious code protection mechanisms include, for example, signature definitions. Due to information system integrity and availability concerns, organizations give careful consideration to the methodology used to carry out automatic updates.
cf SI-8
Objective
|
Determine if the information system automatically updates malicious code protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
automated mechanisms supporting centralized management of malicious code protection mechanisms
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing automatic updates to malicious code protection capability
References: None
SI-3 (7) NONSIGNATURE-BASED DETECTION
Control
|
The information system implements nonsignature-based malicious code detection mechanisms. |
Supplemental guidance
Nonsignature-based detection mechanisms include, for example, the use of heuristics to detect, analyze, and describe the characteristics or behavior of malicious code and to provide safeguards against malicious code for which signatures do not yet exist or for which existing signatures may not be effective. This includes polymorphic malicious code (i.e., code that changes signatures when it replicates). This control enhancement does not preclude the use of signature-based detection mechanisms.
Objective
|
Determine if the information system implements non signature-based malicious code detection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing malicious code protection
information system design documentation
malicious code protection mechanisms
records of malicious code protection updates
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
Assessment: TEST
Automated mechanisms supporting and/or implementing nonsignature-based malicious code protection capability
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
configuration management policy and procedures
procedures addressing malicious code protection
malicious code protection mechanisms
records of malicious code protection updates
information system design documentation
information system configuration settings and associated documentation
scan results from malicious code protection mechanisms
record of actions initiated by malicious code protection mechanisms in response to malicious code detection
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for malicious code protection
organizational personnel with configuration management responsibility
Assessment: TEST
Organizational processes for employing, updating, and configuring malicious code protection mechanisms
organizational process for addressing false positives and resulting potential impact
automated mechanisms supporting and/or implementing employing, updating, and configuring malicious code protection mechanisms
automated mechanisms supporting and/or implementing malicious code scanning and subsequent actions
References
NIST Special Publication 800-83
SI-4 INFORMATION SYSTEM MONITORING
Parameter: si-4_a organization-defined monitoring objectives
Value: organization-defined monitoring objectives
Parameter: si-4_b organization-defined techniques and methods
Value: organization-defined techniques and methods
Parameter: si-4_c organization-defined information system monitoring information
Value: organization-defined information system monitoring information
Parameter: si-4_d organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: si-4_e organization-defined frequency
Value: organization-defined frequency
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Information system monitoring includes external and internal monitoring. External monitoring includes the observation of events occurring at the information system boundary (i.e., part of perimeter defense and boundary protection). Internal monitoring includes the observation of events occurring within the information system. Organizations can monitor information systems, for example, by observing audit activities in real time or by observing other system aspects such as access patterns, characteristics of access, and other actions. The monitoring objectives may guide determination of the events. Information system monitoring capability is achieved through a variety of tools and techniques (e.g., intrusion detection systems, intrusion prevention systems, malicious code protection software, scanning tools, audit record monitoring software, network monitoring software). Strategic locations for monitoring devices include, for example, selected perimeter locations and near server farms supporting critical applications, with such devices typically being employed at the managed interfaces associated with controls SC-7 and AC-17. Einstein network monitoring devices from the Department of Homeland Security can also be included as monitoring devices. The granularity of monitoring information collected is based on organizational monitoring objectives and the capability of information systems to support such objectives. Specific types of transactions of interest include, for example, Hyper Text Transfer Protocol (HTTP) traffic that bypasses HTTP proxies. Information system monitoring is an integral part of organizational continuous monitoring and incident response programs. Output from system monitoring serves as input to continuous monitoring and incident response programs. A network connection is any connection with a device that communicates through a network (e.g., local area network, Internet). A remote connection is any connection with a device communicating through an external network (e.g., the Internet). Local, network, and remote connections can be either wired or wireless.
cf AC-3
cf AC-4
cf AC-8
cf AC-17
cf AU-2
cf AU-6
cf AU-7
cf AU-9
cf AU-12
cf CA-7
cf IR-4
cf PE-3
cf RA-5
cf SC-7
cf #sc.26
cf #sc.35
cf SI-3
cf SI-7
SI-4 (1) SYSTEM-WIDE INTRUSION DETECTION SYSTEM
Control
|
The organization connects and configures individual intrusion detection tools into an information system-wide intrusion detection system. |
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection capability
References: None
SI-4 (2) AUTOMATED TOOLS FOR REAL-TIME ANALYSIS
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs automated tools to support near real-time analysis of events. |
Supplemental guidance
Automated tools include, for example, host-based, network-based, transport-based, or storage-based event monitoring tools or Security Information and Event Management (SIEM) technologies that provide real time analysis of alerts and/or notifications generated by organizational information systems.
Objective
|
Determine if the organization employs automated tools to support near real-time analysis of events. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for incident response/management
Assessment: TEST
Organizational processes for near real-time analysis of events
organizational processes for information system monitoring
automated mechanisms supporting and/or implementing information system monitoring
automated mechanisms/tools supporting and/or implementing analysis of events
References: None
SI-4 (4) INBOUND AND OUTBOUND COMMUNICATIONS TRAFFIC
Parameter: si-4_f organization-defined frequency
Value: organization-defined frequency
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system monitors inbound and outbound communications traffic si-4_f organization-defined frequency organization-defined frequency for unusual or unauthorized activities or conditions. |
Supplemental guidance
Unusual/unauthorized activities or conditions related to information system inbound and outbound communications traffic include, for example, internal traffic that indicates the presence of malicious code within organizational information systems or propagating among system components, the unauthorized exporting of information, or signaling to external information systems. Evidence of malicious code is used to identify potentially compromised information systems or information system components.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system protocols
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection capability/information system monitoring
automated mechanisms supporting and/or implementing monitoring of inbound/outbound communications traffic
References: None
SI-4 (5) SYSTEM-GENERATED ALERTS
Parameter: si-4_g organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: si-4_h organization-defined compromise indicators
Value: organization-defined compromise indicators
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system alerts si-4_g organization-defined personnel or roles organization-defined personnel or roles when the following indications of compromise or potential compromise occur: si-4_h organization-defined compromise indicators organization-defined compromise indicators . |
Supplemental guidance
Alerts may be generated from a variety of sources, including, for example, audit records or inputs from malicious code protection mechanisms, intrusion detection or prevention mechanisms, or boundary protection devices such as firewalls, gateways, and routers. Alerts can be transmitted, for example, telephonically, by electronic mail messages, or by text messaging. Organizational personnel on the notification list can include, for example, system administrators, mission/business owners, system owners, or information system security officers.
cf AU-5
cf PE-6
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
alerts/notifications generated based on compromise indicators
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
system developers
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing alerts for compromise indicators
References: None
SI-4 (14) WIRELESS INTRUSION DETECTION
Control
|
The organization employs a wireless intrusion detection system to identify rogue wireless devices and to detect attack attempts and potential compromises/breaches to the information system. |
Supplemental guidance
Wireless signals may radiate beyond the confines of organization-controlled facilities. Organizations proactively search for unauthorized wireless connections including the conduct of thorough scans for unauthorized wireless access points. Scans are not limited to those areas within facilities containing information systems, but also include areas outside of facilities as needed, to verify that unauthorized wireless access points are not connected to the systems.
cf AC-18
cf IA-3
Objectives
|
Determine if the organization employs a wireless intrusion detection system to:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
information system protocols
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection
automated mechanisms supporting and/or implementing wireless intrusion detection capability
References: None
SI-4 (16) CORRELATE MONITORING INFORMATION
Control
|
The organization correlates information from monitoring tools employed throughout the information system. |
Supplemental guidance
Correlating information from different monitoring tools can provide a more comprehensive view of information system activity. The correlation of monitoring tools that usually work in isolation (e.g., host monitoring, network monitoring, anti-virus software) can provide an organization-wide view and in so doing, may reveal otherwise unseen attack patterns. Understanding the capabilities/limitations of diverse monitoring tools and how to maximize the utility of information generated by those tools can help organizations to build, operate, and maintain effective monitoring programs.
cf AU-6
Objective
|
Determine if the organization correlates information from monitoring tools employed throughout the information system. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
event correlation logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring the information system
organizational personnel with responsibility for the intrusion detection system
Assessment: TEST
Organizational processes for intrusion detection/information system monitoring
automated mechanisms supporting and/or implementing intrusion detection/information system monitoring capability
automated mechanisms supporting and/or implementing correlation of information from monitoring tools
References: None
SI-4 (23) HOST-BASED DEVICES
Parameter: si-4_x organization-defined host-based monitoring mechanisms
Value: organization-defined host-based monitoring mechanisms
Parameter: si-4_y organization-defined information system components
Value: organization-defined information system components
Control
|
The organization implements si-4_x organization-defined host-based monitoring mechanisms organization-defined host-based monitoring mechanisms at si-4_y organization-defined information system components organization-defined information system components . |
Supplemental guidance
Information system components where host-based monitoring can be implemented include, for example, servers, workstations, and mobile devices. Organizations consider employing host-based monitoring mechanisms from multiple information technology product developers.
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system monitoring tools and techniques
information system design documentation
host-based monitoring mechanisms
information system monitoring tools and techniques documentation
information system configuration settings and associated documentation
list of information system components requiring host-based monitoring
information system monitoring logs or records
information system audit records
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility for monitoring information system hosts
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing host-based monitoring capability
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
Continuous monitoring strategy
system and information integrity policy
procedures addressing information system monitoring tools and techniques
facility diagram/layout
information system design documentation
information system monitoring tools and techniques documentation
locations within information system where monitoring devices are deployed
information system configuration settings and associated documentation
other relevant documents or records
Assessment: INTERVIEW
System/network administrators
organizational personnel with information security responsibilities
organizational personnel installing, configuring, and/or maintaining the information system
organizational personnel with responsibility monitoring the information system
Assessment: TEST
Organizational processes for information system monitoring
automated mechanisms supporting and/or implementing information system monitoring capability
References
NIST Special Publication 800-61
NIST Special Publication 800-83
NIST Special Publication 800-92
NIST Special Publication 800-94
NIST Special Publication 800-137
SI-5 SECURITY ALERTS, ADVISORIES, AND DIRECTIVES
Parameter: si-5_a organization-defined external organizations
Value: organization-defined external organizations
Parameter: si-5_b organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: si-5_c organization-defined elements within the organization
Value: organization-defined elements within the organization
Parameter: si-5_d organization-defined external organizations
Value: organization-defined external organizations
priority: P1
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
The United States Computer Emergency Readiness Team (US-CERT) generates security alerts and advisories to maintain situational awareness across the federal government. Security directives are issued by OMB or other designated organizations with the responsibility and authority to issue such directives. Compliance to security directives is essential due to the critical nature of many of these directives and the potential immediate adverse effects on organizational operations and assets, individuals, other organizations, and the Nation should the directives not be implemented in a timely manner. External organizations include, for example, external mission/business partners, supply chain partners, external service providers, and other peer/supporting organizations.
cf SI-2
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing security alerts, advisories, and directives
records of security alerts and advisories
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security alert and advisory responsibilities
organizational personnel implementing, operating, maintaining, and using the information system
organizational personnel, organizational elements, and/or external organizations to whom alerts, advisories, and directives are to be disseminated
system/network administrators
organizational personnel with information security responsibilities
Assessment: TEST
Organizational processes for defining, receiving, generating, disseminating, and complying with security alerts, advisories, and directives
automated mechanisms supporting and/or implementing definition, receipt, generation, and dissemination of security alerts, advisories, and directives
automated mechanisms supporting and/or implementing security directives
References
NIST Special Publication 800-40
SI-6 SECURITY FUNCTION VERIFICATION
Parameter: si-6_a organization-defined security functions
Value: organization-defined security functions
Parameter: si-6_b organization-defined system transitional states
Value: organization-defined system transitional states
Parameter: si-6_c organization-defined frequency
Value: organization-defined frequency
Parameter: si-6_d organization-defined personnel or roles
Value: organization-defined personnel or roles
Parameter: si-6_e organization-defined alternative action(s)
Value: organization-defined alternative action(s)
priority: P1
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Transitional states for information systems include, for example, system startup, restart, shutdown, and abort. Notifications provided by information systems include, for example, electronic alerts to system administrators, messages to local computer consoles, and/or hardware indications such as lights.
cf CA-7
cf CM-6
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing security function verification
information system design documentation
information system configuration settings and associated documentation
alerts/notifications of failed security verification tests
list of system transition states requiring security functionality verification
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with security function verification responsibilities
organizational personnel implementing, operating, and maintaining the information system
system/network administrators
organizational personnel with information security responsibilities
system developer
Assessment: TEST
Organizational processes for security function verification
automated mechanisms supporting and/or implementing security function verification capability
References: None
SI-7 SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY
Parameter: si-7_a organization-defined software, firmware, and information
Value: organization-defined software, firmware, and information
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization employs integrity verification tools to detect unauthorized changes to si-7_a organization-defined software, firmware, and information organization-defined software, firmware, and information . |
Supplemental guidance
Unauthorized changes to software, firmware, and information can occur due to errors or malicious activity (e.g., tampering). Software includes, for example, operating systems (with key internal components such as kernels, drivers), middleware, and applications. Firmware includes, for example, the Basic Input Output System (BIOS). Information includes metadata such as security attributes associated with information. State-of-the-practice integrity-checking mechanisms (e.g., parity checks, cyclical redundancy checks, cryptographic hashes) and associated tools can automatically monitor the integrity of information systems and hosted applications.
cf #sa.12
cf SC-8
cf SC-13
cf SI-3
SI-7 (1) INTEGRITY CHECKS
Parameter: si-7_b organization-defined software, firmware, and information
Value: organization-defined software, firmware, and information
Parameter: si-7_c organization-defined transitional states or security-relevant events
Value: organization-defined transitional states or security-relevant events
Parameter: si-7_d organization-defined frequency
Value: organization-defined frequency
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system performs an integrity check of si-7_b organization-defined software, firmware, and information organization-defined software, firmware, and information [Selection (one or more): at startup; at si-7_c organization-defined transitional states or security-relevant events organization-defined transitional states or security-relevant events ; si-7_d organization-defined frequency organization-defined frequency ]. |
Supplemental guidance
Security-relevant events include, for example, the identification of a new threat to which organizational information systems are susceptible, and the installation of new hardware, software, or firmware. Transitional states include, for example, system startup, restart, shutdown, and abort.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records of integrity scans
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Software, firmware, and information integrity verification tools
References: None
SI-7 (7) INTEGRATION OF DETECTION AND RESPONSE
Parameter: si-7_g organization-defined security-relevant changes to the information system
Value: organization-defined security-relevant changes to the information system
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization incorporates the detection of unauthorized si-7_g organization-defined security-relevant changes to the information system organization-defined security-relevant changes to the information system into the organizational incident response capability. |
Supplemental guidance
This control enhancement helps to ensure that detected events are tracked, monitored, corrected, and available for historical purposes. Maintaining historical records is important both for being able to identify and discern adversary actions over an extended period of time and for possible legal actions. Security-relevant changes include, for example, unauthorized changes to established configuration settings or unauthorized elevation of information system privileges.
cf IR-4
cf IR-5
cf SI-4
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
procedures addressing incident response
information system design documentation
information system configuration settings and associated documentation
incident response records
information audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
organizational personnel with incident response responsibilities
Assessment: TEST
Organizational processes for incorporating detection of unauthorized security-relevant changes into the incident response capability
software, firmware, and information integrity verification tools
automated mechanisms supporting and/or implementing incorporation of detection of unauthorized security-relevant changes into the incident response capability
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing software, firmware, and information integrity
information system design documentation
information system configuration settings and associated documentation
integrity verification tools and associated documentation
records generated/triggered from integrity verification tools regarding unauthorized software, firmware, and information changes
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for software, firmware, and/or information integrity
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Software, firmware, and information integrity verification tools
References
NIST Special Publication 800-147
NIST Special Publication 800-155
SI-8 SPAM PROTECTION
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization:
|
Supplemental guidance
Information system entry and exit points include, for example, firewalls, electronic mail servers, web servers, proxy servers, remote-access servers, workstations, mobile devices, and notebook/laptop computers. Spam can be transported by different means including, for example, electronic mail, electronic mail attachments, and web accesses. Spam protection mechanisms include, for example, signature definitions.
cf AT-2
cf AT-3
cf SC-5
cf SC-7
cf SI-3
SI-8 (1) CENTRAL MANAGEMENT
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization centrally manages spam protection mechanisms. |
Supplemental guidance
Central management is the organization-wide management and implementation of spam protection mechanisms. Central management includes planning, implementing, assessing, authorizing, and monitoring the organization-defined, centrally managed spam protection security controls.
cf AU-3
cf SI-2
cf SI-7
Objective
|
Determine if the organization centrally manages spam protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing spam protection
spam protection mechanisms
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for spam protection
organizational personnel with information security responsibilities
system/network administrators
Assessment: TEST
Organizational processes for central management of spam protection
automated mechanisms supporting and/or implementing central management of spam protection
References: None
SI-8 (2) AUTOMATIC UPDATES
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system automatically updates spam protection mechanisms. |
Objective
|
Determine if the information system automatically updates spam protection mechanisms. |
Assessment: EXAMINE
System and information integrity policy
procedures addressing spam protection
spam protection mechanisms
records of spam protection updates
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for spam protection
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for spam protection
automated mechanisms supporting and/or implementing automatic updates to spam protection mechanisms
References: None
Objectives
|
Determine if the organization:
|
Assessment: EXAMINE
System and information integrity policy
configuration management policy and procedures (CM-1)
procedures addressing spam protection
spam protection mechanisms
records of spam protection updates
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for spam protection
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for implementing spam protection
automated mechanisms supporting and/or implementing spam protection
References
NIST Special Publication 800-45
SI-10 INFORMATION INPUT VALIDATION
Parameter: si-10_a organization-defined information inputs
Value: organization-defined information inputs
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system checks the validity of si-10_a organization-defined information inputs organization-defined information inputs . |
Supplemental guidance
Checking the valid syntax and semantics of information system inputs (e.g., character set, length, numerical range, and acceptable values) verifies that inputs match specified definitions for format and content. Software applications typically follow well-defined protocols that use structured messages (i.e., commands or queries) to communicate between software modules or system components. Structured messages can contain raw or unstructured data interspersed with metadata or control information. If software applications use attacker-supplied inputs to construct structured messages without properly encoding such messages, then the attacker could insert malicious commands or special characters that can cause the data to be interpreted as control information or metadata. Consequently, the module or component that receives the tainted output will perform the wrong operations or otherwise interpret the data incorrectly. Prescreening inputs prior to passing to interpreters prevents the content from being unintentionally interpreted as commands. Input validation helps to ensure accurate and correct inputs and prevent attacks such as cross-site scripting and a variety of injection attacks.
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
access control policy and procedures
separation of duties policy and procedures
procedures addressing information input validation
documentation for automated tools and applications to verify validity of information
list of information inputs requiring validity checks
information system design documentation
information system configuration settings and associated documentation
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing validity checks on information inputs
References: None
SI-11 ERROR HANDLING
Parameter: si-11_a organization-defined personnel or roles
Value: organization-defined personnel or roles
priority: P2
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system:
|
Supplemental guidance
Organizations carefully consider the structure/content of error messages. The extent to which information systems are able to identify and handle error conditions is guided by organizational policy and operational requirements. Information that could be exploited by adversaries includes, for example, erroneous logon attempts with passwords entered by mistake as the username, mission/business information that can be derived from (if not stated explicitly by) information recorded, and personal information such as account numbers, social security numbers, and credit card numbers. In addition, error messages may provide a covert channel for transmitting information.
cf AU-2
cf AU-3
cf #sc.31
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing information system error handling
information system design documentation
information system configuration settings and associated documentation
documentation providing structure/content of error messages
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information input validation
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Organizational processes for error handling
automated mechanisms supporting and/or implementing error handling
automated mechanisms supporting and/or implementing management of error messages
References: None
SI-12 INFORMATION HANDLING AND RETENTION
priority: P2
baseline-impact: LOW
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The organization handles and retains information within the information system and information output from the system in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements. |
Supplemental guidance
Information handling and retention requirements cover the full life cycle of information, in some cases extending beyond the disposal of information systems. The National Archives and Records Administration provides guidance on records retention.
cf #ac.16
cf AU-5
cf AU-11
cf MP-2
cf MP-4
Objectives
|
Determine if the organization, in accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements:
|
Assessment: EXAMINE
System and information integrity policy
federal laws, Executive Orders, directives, policies, regulations, standards, and operational requirements applicable to information handling and retention
media protection policy and procedures
procedures addressing information system output handling and retention
information retention records, other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for information handling and retention
organizational personnel with information security responsibilities/network administrators
Assessment: TEST
Organizational processes for information handling and retention
automated mechanisms supporting and/or implementing information handling and retention
References: None
SI-16 MEMORY PROTECTION
Parameter: si-16_a organization-defined security safeguards
Value: organization-defined security safeguards
priority: P1
baseline-impact: MODERATE
baseline-impact: HIGH
Control
|
The information system implements si-16_a organization-defined security safeguards organization-defined security safeguards to protect its memory from unauthorized code execution. |
Supplemental guidance
Some adversaries launch attacks with the intent of executing code in non-executable regions of memory or in memory locations that are prohibited. Security safeguards employed to protect memory include, for example, data execution prevention and address space layout randomization. Data execution prevention safeguards can either be hardware-enforced or software-enforced with hardware providing the greater strength of mechanism.
cf #ac.25
cf #sc.3
Objectives
|
Determine if:
|
Assessment: EXAMINE
System and information integrity policy
procedures addressing memory protection for the information system
information system design documentation
information system configuration settings and associated documentation
list of security safeguards protecting information system memory from unauthorized code execution
information system audit records
other relevant documents or records
Assessment: INTERVIEW
Organizational personnel with responsibility for memory protection
organizational personnel with information security responsibilities
system/network administrators
system developer
Assessment: TEST
Automated mechanisms supporting and/or implementing safeguards to protect information system memory from unauthorized code execution